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.
Systemic Regulation Topic Of Another Hearing
By Staff WriterThe House Financial Services Committee plans to hold a hearing on systemic regulation Oct. 20.
October 01, 2009
Ken Lewis to Step Down at Year-endBank of America CEO Ken Lewis announced that he would retire early from the bank at the end of the year.
October 01, 2009
Reading Between the Labor Dept.'s LinesPhyllis Borzi, the new assistant secretary of labor and head of the Department of Labor's Employee Benefits Security Administration (EBSA) gave her first press interview...
October 01, 2009
SEC Criticized for MadoffCongress wasted little time in taking SEC officials to task after the securities watchdog's inspector general released September 2 a scathing report on the SEC's...
October 01, 2009
Danger & Opportunity: Financial Services Reform Bill InevitableWhile healthcare reform is priority No. 1 for the Obama Administration, financial services reform is still alive and kicking, as President Obama made very clear...
September 30, 2009
Vote Nears on Consumer Financial Protection AgencyFrank promises vote on omnibus reform bill by early November
September 30, 2009
Kotz Lays Down the Law to SEC in Wake of Madoff FailureInspector General delivers laundry list of improvements to Enforcement Division