Federal Regulation
Get the latest news and insights on regulatory developments affecting financial advisors and the stock market and trading, including news about the SEC, DOL, IRS and the Financial Industry Regulatory Authority.
Advisor tip: Stop using Outlook for e-mail marketing
By Kristen LukeE-mail marketing should be a standard part of every advisor's marketing strategy. Unfortunately, many advisors confuse the ability to send hundreds of e-mails through Outlook as "e-mail marketing."
February 03, 2011
At TD Ameritrade Conference, Differing Views on Implementing Fiduciary StandardPanel of opinionated experts provides insight, suggest likely next steps for SEC studies.
February 03, 2011
TD Ameritrade Institutional Says SEC Should Regulate RIAsThe company urges RIAs to write to Congress and the SEC regarding the Study.
February 03, 2011
As Super Bowl Nears, FINRA, NFL Tackle Issue of Financial Planning for PlayersWhile many players for the Pittsburgh Steelers and Green Bay Packers will be at the pinnacle of their careers this Super Bowl Sunday, they will all eventually grow old and retire, which is why FINRA and the NFL have joined in a financial planning program.
February 02, 2011
SEC Proposes ‘Security-Based Swap Execution Facility’ RulesInstead of trading over-the-counter, as these have, the SEC wants to add ‘transparency, efficiency, and competitiveness’ and oversight.
February 02, 2011
Moody’s Downgrades 5 Egyptian Banks; UAE Regulations on Bank FeesAs demonstrations continued in Egypt and the nation’s banks remained closed, Moody’s downgraded five of the nation’s banks Wednesday morning and said they were on review for additional downgrades.
February 01, 2011
After the Horse Has Left the BarnAn appreciation of history and human behavior leads to the conclusion that internal enemies can be the most damaging to a country’s economic health, and the financial services industry’s well-being.
February 01, 2011
The Rise of the RegulatorsThese are busy times at the Securities and Exchange Commission and other financial regulatory agencies. Officials are scrambling to write rules for carrying…