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.
Schapiro: SEC Collaborating on Broker/Dealer, Advisor Exams
By Melanie WaddellNew OCIE director to focus on ways to better integrate B/D, advisor, mutual fund exams
January 27, 2010
AIG Hearing Witnesses: We Had No Time To Get HaircutsThe U.S. financial system was in the midst of a "full-scale run" in the fall of 2008, and letting American International Group Inc. go bankrupt would have taken down its insurance company subsidiaries, Treasury Secretary Timothy Geithner said today.
January 26, 2010
FINRA Weighs In On Social NetworkingThe Financial Industry Regulatory Authority has put out new guidance regarding use of social networking websites such as Facebook, Twitter and LinkedIn by FINRA member companies and those companies' brokers and reps.
January 26, 2010
House Republicans Blast AIG Bailout DisclosuresA report developed under the aegis of Rep. Darrell Issa accuses the Federal Reserve System and the U.S. Treasury Department of being "deceptive and dishonest" about the bailout of American International Group Inc. (NYSE:AIG).
January 26, 2010
FINRA Weighs In On Social NetworkingThe Financial Industry Regulatory Authority has put out new guidance regarding use of social networking websites such as Facebook, Twitter and LinkedIn by FINRA member companies and those companies' brokers and reps.
January 26, 2010
AIG Hearing Witnesses: We Had No Time To Get HaircutsThe U.S. financial system was in the midst of a "full-scale run" in the fall of 2008, and letting American International Group Inc. go bankrupt would have taken down its insurance company subsidiaries, Treasury Secretary Timothy Geithner said today.
January 21, 2010
2 In House Back Fed-AIG Probe By GAOTwo members of the House are supporting a sweeping Government Accountability Office study of the Federal Reserve Board's role in American International Group's decision to make whole its bank trading partners.
January 21, 2010
SEC Proposes Fair FundThe Securities and Exchange Commission has come up with a plan for compensating some investors affected by variable annuity market timers.