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.
SEC Approves Stock Circuit-Breaker Rules after May 6 Market Collapse
By Joyce HansonThe SEC approved stock circuit-breaker rules on Thursday, June 10, that require a pause in the trading of individual stocks if the price moves 10% or more in a five-minute period.
June 10, 2010
Goldman, Stiglitz and the Future of InvestingNobel Laureate Joseph Stiglitz says that 'delay' or 'study' of some financial reforms is 'unconscionable; continued regulatory forbearance puts the economy at risk.'
June 10, 2010
Goldman, Stiglitz and the Future of Investing: Viewpoint BlogNobel Laureate Joseph Stiglitz says that 'delay' or 'study' of some financial reforms is 'unconscionable; continued regulatory forbearance puts the economy at risk'
June 08, 2010
FCIC Subpoenas Goldman SachsThe Financial Crisis Inquiry Commission (FCIC) issued a subpoena to Goldman Sachs on June 7, requiring the firm to produce documents and witnesses it has failed to provide, according to an announcement and timeline from the FCIC.
June 08, 2010
FCIC Subpoenas Goldman Sachs & Co.The Fraud Enforcement and Recovery Act of 2009 gives FCIC power to compel Goldman Sachs to produce missing witnesses and documents.
June 04, 2010
After the Kenneth Starr Swindle: How Advisors Can Reassure ClientsFinancial advisors, RIAs and lawyers point to crucial role of third-party custodians in the aftermath of Kenneth Starr's alleged $30 million fraud.
June 04, 2010
After the Starr Swindle: How Financial Advisors Can Reassure ClientsFinancial advisors are buzzing about the SEC's $30 million fraud case against "advisor to the stars" Kenneth Starr in light of issues such as fiduciary duty, transparency and custody rules.
June 01, 2010
The Regulators Never SleepThe Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC) announced May 10 that the two agencies have formed a joint committee...