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.
How to comply in a virtual world
By Steven McCartyHow can you steer clear of a PR nightmare waiting to happen?
May 01, 2010
FINRA pushing for greater broker transparencyBottom line: If advisors have nothing to hide, they have nothing to fear from enhanced disclosure requirements.
May 01, 2010
To securitize, or not to securitize: Defending your business from 151AInterested in taking the plunge and becoming securities licensed?
May 01, 2010
Editor's Note: Another Modest ProposalHarry Markopolos, one of our 30 most influential people in the independent advice business over the past 30 years that Investment Advisor has been published...
May 01, 2010
The Great UnfixingIt was known as "May Day" or "Mayday," the latter spelling suggesting the distress with which it was regarded in some financial circles. On May...
May 01, 2010
30 for 30 Interviews: Harry MarkopolosYou'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
30 for 30 Interviews: Mary SchapiroAre you waiting to see the outcome of financial services reform before you make a final determination on how to proceed with harmonizing the rules...
May 01, 2010
Simple, Not SimplisticTom Giachetti is no stranger to Investment Advisor readers, nor to many advisors who have heard this securities lawyer extraordinaire speak at all manner of...