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.
FINRA Alert: High-Yield Investment Programs Tied to Ponzi Schemes
By Michael S. FischerAttracted by promises of high returns? Think Madoff.
August 31, 2010
'The Fiduciary Reference' Delivered to SEC Call for Comments'Must-read' papers include diverse views about fiduciary duty as applied to advice to investors.
August 30, 2010
Groups Tell SEC to Take Hard Look at Fiduciary NormSix financial services trade groups are urging the Securities and Exchange Commission (SEC) to study the fiduciary standard issue in "a comprehensive manner."
August 30, 2010
As SEC Fiduciary Comment Deadline Arrives, Groups Polish ResponsesMonday, August 30, marks the last day the Securities and Exchange Commission (SEC) officially accepts comment letters regarding the study the securities regulator is to conduct on putting brokers under a fiduciary standard of care.
August 29, 2010
August 30 Is SEC Comment Deadline on Fiduciary IssueMany comments already have been submitted.
August 27, 2010
SEC's Broker-RIA Fiduciary Comment Deadline Near: OPINION ColumnIn transparent process, industry misinformation shows up. Let us clear it up.
August 27, 2010
Bernanke: Fed Committed to Supporting RecoveryFederal Reserve Chairman Ben Bernanke said Friday that inflation should remain "subdued for some time, with low risks of either a significant increase or decrease from current levels."
August 26, 2010
New Jersey Prunes RegulationsNew Jersey officials say 3 sets of filing requirements ought to go.