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.
30 for 30 Interviews: Harry Markopolos
By Melanie WaddellYou've been watching the SEC for years. How do you think the SEC is doing now? Have the changes to staff and structure that SEC...
May 01, 2010
What a Reinvigorated SEC Will Mean for YouReports of the demise of the Securities and Exchange Commission were premature. In the wake of the Madoff scandal, some questioned whether the SEC would...
April 30, 2010
Criminal Investigation Reported for Goldman SachsU.S. prosecutor reported to be looking at mortgage trading activities of storied firm.
April 30, 2010
Criminal investigation reported for Goldman SachsIt is widely reported that U.S. prosecutors are looking into the mortgage trading activities of Goldman Sachs Group and its employees. The New York Times...
April 30, 2010
Social networking: Nirvana or nightmare?While social networking sites are a marketer's dream, they're also rife with potential compliance issues.
April 30, 2010
FINRA pushing for greater broker transparencyBottom line: If advisors have nothing to hide, they have nothing to fear from enhanced disclosure requirements.
April 30, 2010
Fiduciary standard back in play in Dodd reform billA uniform fiduciary standard for all providers of advice is back on the table in the Senate. Supporters, including financial planners, said Friday, April 30, that...
April 30, 2010
To securitize, or not to securitize: Defending your business from 151AInterested in taking the plunge and becoming securities licensed?