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's Broker-RIA Fiduciary Comment Deadline Near: OPINION Column
By Kate McBrideIn transparent process, industry misinformation shows up. Let us clear it up.
August 26, 2010
New Jersey Prunes RegulationsNew Jersey officials say 3 sets of filing requirements ought to go.
August 25, 2010
Feds: Do What the NAIC DoesFederal bank regulators say banks could consider emulating the National Association of Insurance Commissioners when they are trying to reduce reliance on credit ratings.
August 25, 2010
Feds: Do What the NAIC DoesFederal bank regulators say banks could consider emulating the National Association of Insurance Commissioners when they are trying to reduce reliance on credit ratings.
August 25, 2010
Dodd-Frank: The Swaps DictionaryThe U.S. Securities and Exchange Commission and the Commodity Futures Trading Commission refer to insurers in two sections of a swaps definitions document.
August 24, 2010
Morgan Stanley Adds Team From Wells Fargo, Faces FINRA FineMorgan Stanley Smith Barney recently recruited a team of financial advisers from Wells Fargo Advisors, which followed a fine by the Financial Industry Regulatory Authority (FINRA) over disclosure rules.
August 24, 2010
SEC's Target Date Fund Proposal Garners Little ResponseSenators express 'deep' concern about limiting disclosures to only mutual funds.
August 24, 2010
Morgan Stanley Adds Team from Wells, Faces FineBoca Raton-based advisor team with $100 million-plus in assets joins MSSB a few days after FINRA fined the broker-dealer $800,000.