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's Exam Division Gets New Director
By Melanie WaddellThe SEC has appointed Carlo V. di Florio as director of the agency's embattled Office of Compliance Inspections and Examinations, which received a lot of scrutiny from Congress and the industry for failing to detect the Bernie Madoff Ponzi scheme.
January 04, 2010
Bernanke Says Lax Regulation Caused Housing BubbleThe "blunt tool" of easy monetary policy not to blame, Fed chief says
January 04, 2010
FSI Comments on FINRA Rule 2510 Discretionary Account ChangeAsks FINRA to keep old NASD rule provisions
January 01, 2010
SEC Proposes Two-Year Stay on Rule 151AThe Securities and Exchange Commission on December 8 agreed to a two-year delay of the effective date of Rule 151A, which would require that equity...
December 31, 2009
Boomers have bad credit card habitsMore than two-thirds of Americans have credit cards, and of those, about 27 percent say they have at least four cards, a recent study found....
December 28, 2009
IRS Completes Tax RegulationsThe Internal Revenue Service has published the final version of rules that may affect the income taxes of corporate groups that include both life and non-life insurance companies.
December 28, 2009
IRS Completes Tax RegulationsThe Internal Revenue Service has published the final version of rules that may affect the income taxes of corporate groups that include both life and non-life insurance companies.
December 22, 2009
SEC Custody Rules Include Surprise ExamsAdvisors who custody assets will also get outside audits