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, CFTC to Issue September Report on 'Flash Crash'
By Melanie WaddellBlackRock survey found advisors believed an over reliance on computer systems and some types of high frequency trading were primary drivers of crash.
August 12, 2010
OPINION Column: SEC Funding Needs to ChangeAn SEC that takes in nearly half a billion dollars more than Congress grants it is not as strong as it should be.
August 10, 2010
SEC, CFTC to Hold Third Meeting on May 6 CrashAgenda will focus on role of ETFs in so-called 'flash crash.'
August 09, 2010
SEC Moving Promptly on Fiduciary StandardThe Securities and Exchange Commission is making clear that it will move promptly to extend the fiduciary standard to all professionals who sell investment products.
August 08, 2010
SEC Moving Promptly on Fiduciary StandardThe Securities and Exchange Commission is making clear that it will move promptly to extend the fiduciary standard to all professionals who sell investment products.
August 06, 2010
Frank Sees Strong Backing for OFCCreation of an optional federal charter (OFC) for insurers will be on Congress' 2011 agenda because it has strong bipartisan support, Rep. Barney Frank, D-Mass., has told state insurance legislators.
August 06, 2010
Frank Sees Strong Backing for OFCCreation of an optional federal charter (OFC) for insurers will be on Congress' 2011 agenda because it has strong bipartisan support, Rep. Barney Frank, D-Mass., has told state insurance legislators.
August 06, 2010
Financial Institution Executive Benefits Compensation Disclosure ProvisionThe Dodd-Frank Wall Street Reform and Consumer Protection Act includes a provision on executive compensation at covered financial institutions.