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.
Survey: Consumers Want Fiduciary Standard Scope Expanded
By Arthur D. PostalAbout 91% of U.S. investors say stockbrokers and investment advisors who provide the same kinds of advisory services should follow the same investor protection rules, according to sponsors of a recent survey.
September 14, 2010
Inside the Beltway: Ruminations of a Simple Guy From Kansas...in DCSo what's been going on in DC? Since the economic crisis of 2008, the IAA has been up to our neck in the "reg reform" debate on Capitol Hill. Last year, I had the p
September 13, 2010
Deluge of Comment Letters Shows Industry Split on Fiduciary StandardThe 30-day comment period out of the way, the Securities and Exchange Commission is now setting to work crafting a study that will ultimately determine the standard of care agents and brokers must use in selling investment products in the future.
September 12, 2010
Deluge of Comment Letters Shows Industry Split on Fiduciary StandardThe 30-day comment period out of the way, the Securities and Exchange Commission is now setting to work crafting a study that will ultimately determine the standard of care agents and brokers must use in selling investment products in the future.
September 10, 2010
Advisor to the Stars Ken Starr Pleads Guilty to Ponzi SchemeFinancial advisor to the stars Kenneth Starr pleaded guilty Friday, September 10, to swindling his clients in a fraud case that involved the theft of millions of dollars from celebrity clients such as Uma Thurman and Al Pacino.
September 10, 2010
SEC to Expand Circuit Breakers to Russell 1000 Stocks, Some ETFsThe Securities and Exchange Commission (SEC) approved new rules submitted by the national securities exchanges and FINRA on Friday, September 10.
September 07, 2010
Market Structure Is the Topic for SEC SpeechSEC Chair Mary L. Schapiro spoke about "Strengthening Our Equity Market Structure" to The Economic Club of New York on September 7.
September 07, 2010
SEC Chief Schapiro Talks About Market Structure, 'Flash Crash'SEC Chair Mary Schapiro spoke about "Strengthening Our Equity Market Structure" to The Economic Club of New York on Tuesday, September 7.