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.
SEC charges two Madoff employees with fraud
By staff WriterThe Securities and Exchange Commission has charged two Bernard L. Madoff Investment Securities employees for their roles in the Madoff Ponzi scheme.
November 23, 2010
As SEC Loses Two Key Directors, a Replacement Is NamedAs the SEC loses two key players from its team--Buddy Donohue and Henry Hu--Jennifer McHugh will take over for Donohue.
November 22, 2010
Dodd-Frank: SEC Posts Advisor Size RegsThe U.S. Securities and Exchange Commission has proposed a regulation that would increase the size of investment advisors to be regulated by the agency to $100 million, from $25 million.
November 22, 2010
Slow Growth for 2011, No Double-Dip Recession, Say Leading EconomistsIn the vein of "no news is good news" a group of economists says its forecast remains the same--slow growth for 2011.
November 21, 2010
Dodd-Frank: SEC Posts Advisor Size RegsThe U.S. Securities and Exchange Commission has proposed a regulation that would increase the size of investment advisors to be regulated by the agency to $100 million, from $25 million.
November 19, 2010
SEC Floats Rules Requiring Hedge Fund, Other Private Fund Managers to RegisterThe SEC proposed rules stemming from the Dodd-Frank Act requiring hedge funds and other private funds to register with the commission.
November 18, 2010
FBI Arrests Two Ex-Madoff EmployeesThe Federal Bureau of Investigation arrested two former employees of Bernard L. Madoff's investment firm.
November 17, 2010
Madoff Investors Mount Legal Suits Against SEC, IRSIn response to the Madoff fraud, NIAP is calling for tax legislation to extend theft loss deductions and provide deductions for IRAs and retirement plans to help victims, and asking Congress to ensure "the federal pressing of the Securities Investment Protection Corp. to open its books."