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.
Inside the Beltway: Ruminations of a Simple Guy From Kansas...in DC
By David TittsworthSo 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 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.
September 07, 2010
Obama & Taxes, Schapiro & Regulation, and a Somber Anniversary: Advisor Briefing for the Week of September 7, 2010What's happening this week.
September 07, 2010
SEC to Launch Muni Markets Field Hearings on September 21Disclosure and transparency, credit ratings, and internal controls top the SEC's agenda for a series of nationwide field hearings to examine the municipal securities markets, starting in San Francisco on September 21.
September 03, 2010
SIFMA Weighs In on SEC Fiduciary-Standard StudyThe six-month SEC study is required by the Dodd-Frank Wall Street Reform and Consumer Protection Act.