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.
B/D News
By James J. GreenSEC Chairman Mary Schapiro told chief compliance officers attending the Commission's second CCOOutreach seminar January 26 that since more and more firms registered with the...
February 25, 2010
Advisors give 151A a big thumbs downNearly two-thirds of our respondents say that they do not support 151A, suggesting the move promises to cause more problems than it seeks to fix.
February 25, 2010
Advisors give 151A a big thumbs downNearly two-thirds of our respondents say that they do not support 151A, suggesting the move promises to cause more problems than it seeks to fix.
February 25, 2010
SEC Adopts Short Sale RulesThe Securities and Exchange Commission (SEC), has approved a rule that will restrict short sales of stock under certain circumstances.
February 25, 2010
SEC eyes target-date fundsTarget-date funds are the newest product in the Securities and Exchange Commission's crosshairs. Chairman Mary Schapiro recently announced the agency will begin examining the way...
February 22, 2010
Editor's Choice for the Week of February 22, 2010: Dodd Expected to Unveil Financial Re-Reg BillWhat's happening this week.
February 17, 2010
Lincoln Expands 403(b) Compliance ServicesLincoln National Corp. has introduced a transaction monitoring service for 403(b) plan sponsors.