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.
At Fiduciary Forum, Academics, Practitioners Share Views on How SEC Should Proceed
By Melanie WaddellAs the Securities and Exchange Commission (SEC) heads into finalizing its study on advisor and broker obligations--the SEC must submit its final report to Congress by February
September 24, 2010
The Practice Blog: A Focus on Dodd-Frank and Fiduciary at D.C. GatheringSome of the best legal, economic, and investing minds gathered in Washington on Thursday to talk about the aftershocks of the Dodd-Frank Act.
September 23, 2010
Dodd-Frank: Aguilar Calls for Unified StandardsPension fund managers and other "sophisticated investors" may need the protection of a fiduciary standard as much as the little guys, Luis Aguilar says.
September 23, 2010
Dodd: More Legislation Needed After Stanford Ponzi Scheme IG ReportMembers of a Senate Banking Committee questioned the SEC Inspector General on Wednesday regarding the IG's report which found that it took the securities regulator 12 years to put a stop to Robert Stanford's $8 billion Ponzi scheme.
September 22, 2010
PPACA: IRS May Extend Anti-Discrimination RulesThe Internal Revenue Service (IRS) is asking how it ought to go about applying rules discouraging discrimination by self-insured employer health plans to insured group plans.
September 22, 2010
Will ‘Wall Street’ Sequel Influence SEC Whistleblowers?It might be too late for the movie's protagonist, but can other would-be Bud Foxes be saved? The securities employment law firm of Stuart D. Meissner LLC. thinks so, and is looking to recruit potential whistleblowers by launching SECSnitch.com.
September 21, 2010
PPACA: IRS May Extend Anti-Discrimination RulesThe Internal Revenue Service (IRS) is asking how it ought to go about applying rules discouraging discrimination by self-insured employer health plans to insured group plans.
September 21, 2010
SEC Begins Hearings on State of Municipal Securities MarketsThe SEC launched its first in a series of field hearings on Tuesday aimed at exploring disclosure and transparency, credit ratings and internal controls in municipal securities markets.