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 Warns Investors to Beware of ‘Steven Cooper’ Impersonator
By Joyce HansonThe Securities and Exchange Commission has issued an alert that warns investors about a person who is falsely claiming to be an employee of the...
October 06, 2010
FIO director: Who's it going to be?Interested in perhaps the most influential job in the insurance industry? You have until Oct. 20 to apply.
October 06, 2010
Producers: 12b-1 Draft Promotes Short-Term ThinkingProposed changes in 12b-1 fund sales fee rules could push advisors away from helping consumers reach long-term financial goals, life agents and other financial advisors are telling the U.S. Securities and Exchange Commission.
October 05, 2010
Producers: 12b-1 Draft Promotes Short-Term ThinkingProposed changes in 12b-1 fund sales fee rules could push advisors away from helping consumers reach long-term financial goals, life agents and other financial advisors are telling the U.S. Securities and Exchange Commission.
October 05, 2010
SEC Proposal to Eliminate 12b-1 Should Be Considered by Fund Boards: Law FirmThe effects of the SEC's proposal to eliminate Rule 12b-1 may have far-reaching and multi-level implications, according to Diana McCarthy, partner at Drinker Biddle.
October 04, 2010
Plan Administrators to Feds: Help!Benefit plan administrators need more time to figure out how to use the government's electronic report filing system, according to the American Society of Pension Professionals & Actuaries.
October 01, 2010
SEC mandates plain English for investment advisor brochureIf you're a registered investment advisor, get ready to disclose more information on your Form ADV, Part 2 and to use plain English.
October 01, 2010
About Those Other SEC Studies ...Among the litany of studies (close to 17 of them, along with 95 rulemakings) that the SEC is charged with conducting under the Dodd-Frank Act,...