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.
New Jersey Prunes Regulations
By Staff WriterNew Jersey officials say 3 sets of filing requirements ought to go.
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.
August 23, 2010
A Failure to Communicate?We are officially in the midst of the dog days of summer. And while that phrase may conjure images of lazy yawns on a front porch and the smell of sunscreen and dried-up lawns, the Securities and Exchange Commission is as busy as ever.
August 23, 2010
Battle Lines Drawn on Optional Federal CharterThe battle lines are already being drawn in anticipation of a battle royal in Congress in 2011 over the creation of an optional federal charter (OFC) for insurers.
August 22, 2010
A Failure to Communicate?We are officially in the midst of the dog days of summer. And while that phrase may conjure images of lazy yawns on a front porch and the smell of sunscreen and dried-up lawns, the Securities and Exchange Commission is as busy as ever.