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.
GAO: AIG is Looking Better
By Arthur D. PostalThe U.S. Government Accountability Office says the chances of the government profiting from its investment in American International Group Inc. now depend on the state of the economy and the skills of AIG's managers.
January 20, 2011
GAO: AIG is Looking BetterThe U.S. Government Accountability Office says the chances of the government profiting from its investment in American International Group Inc. now depend on the state of the economy and the skills of AIG's managers.
January 20, 2011
LPL’s Next Step After IPO? Deleveraging, Allocating Capital, Casady SaysLPL's CEO Mark Casady flaunts scale and resources; says going public has helped recruiting.
January 20, 2011
LPL’s Next Step After IPO? Deleveraging and Allocating CapitalCasady flauts scale and resources; says going public has helped recruiting
January 20, 2011
SEC Sets Asset-Backed Securities Disclosure RulesInvestors can see how often issuers were asked to buy back assets.
January 20, 2011
In Unusual Move, SEC Commissioner Elisse Walter Dissents on SRO StudyWalter is 'quite disappointed' in Study's recommendations.
January 20, 2011
Raymond James’ Helck: ‘Cost of Compliance Is Going Up’Helck, Raymond James' COO, also says advisor headcount across the industry has been dropping.
January 20, 2011
SEC's Rominger Will Play Big Role in Fiduciary Outcome; GOP Wants More Info From CFPBAs we await the Securities and Exchange Commission’s (SEC) report on fiduciary duty that’s due to Congress on Jan. 21, it’s important…