Regulation And Legislation

Displaying 10526 results
REGULATION AND LEGISLATION APR 24, 2013
FPA seeks to ramp up lobbying by hiring D.C. firm

The Financial Planning Association is turning to a Washington, D.C., lobbying firm to beef up its efforts to influence federal and state lawmakers and regulators. The organization hired the Raben Group, a public affairs shop founded by Robert Raben, an assistant attorney general in the Clinton administration.

By Mark Schoeff Jr.
REGULATION AND LEGISLATION APR 23, 2013
Senate Internet tax bill could open door to state levies, hitting advisers

Senate Internet tax bill could open door to state levies, hitting advisers. Mark Schoeff Jr. has the details.

By Mark Schoeff Jr.
REGULATION AND LEGISLATION APR 23, 2013
Law firm: DOL fidush rule would make SEC plan pointless

Letter says Labor rule would make SEC's cost-benefit effort worthless; some disagree.

By Mark Schoeff Jr.
REGULATION AND LEGISLATION APR 23, 2013
SEC charges Belesis, hedge fund manager with fraud

The SEC on Friday charged indie B-D owner -- and 'Wall Street 2' actor -- Tommy Belesis with fraud, claiming he bullied a fund manager into giving him excessive fees.

By Mark Schoeff Jr.
REGULATION AND LEGISLATION APR 21, 2013
Terrorist plot scrapped after day-trading loss sapped funding

Scheme to detonate backups in U.K. abandoned after big hit on forex bets; down 62%

By John Goff
REGULATION AND LEGISLATION APR 21, 2013
Walter calls lifting Reg D ad ban priority

By Mark Schoeff Jr.
REGULATION AND LEGISLATION APR 21, 2013
Another side of the carried-interest debate

As the debate over carried-interest taxes gains national attention, Robert N. Gordon warns that the levies wouldn't just hit hedge fund managers. Here's why Investors should be worried, too.

By Robert N. Gordon
INDEPENDENT BROKER DEALERS APR 21, 2013
Attorney: Belesis firm faces new Finra query

Ex-brokers' lawyer claims intimidation from B-D

By Bruce Kelly
REGULATION AND LEGISLATION APR 21, 2013
Herbalife tangle shows how twisted the stock game is

Public announcements by large shareholders send share price zooming or plummeting; not illegal, but should it be?

By Bloomberg
REGULATION AND LEGISLATION APR 19, 2013
Troubles mounting for REIT big Tony Thompson

Finra says it is investigating REIT maven Tony Thompson for allegedly failing to turn over documents to the regulator. Bruce Kelly reports.

By Bruce Kelly
REGULATION AND LEGISLATION APR 19, 2013
Finra calls cease-fire on RIA oversight

Finra boss Rick Ketchum says there's little chance of RIAs coming under the self-regulator's aegis. The upshot? Finra will focus more heavily on other issues.

By Mark Schoeff Jr.
REGULATION AND LEGISLATION APR 18, 2013
Senate confirms Mary Jo White as SEC chairman by voice vote

Succeeds Elisse Walter, who remains a commissioner.

By Mark Schoeff Jr.
REGULATION AND LEGISLATION APR 18, 2013
Criminal checks on adviser applicants reach Bay State's radar

Massachusetts securities cops want background checks on would-be advisers. And some industry experts say the move could catch on in other states.

By Mark Schoeff Jr.
PRACTICE MANAGEMENT APR 17, 2013
Small firm compliance chiefs wearing too many hats?

SEC's Walter warns that at smaller shops, compliance can fall between the cracks.

By Liz Skinner
WIREHOUSES APR 17, 2013
Court backs brokerages in forcing employees to hold accounts in-house

Appeals court in California says brokerage firms can force employees to hold accounts in-house, that flexibility in in trading policies rules.

By DJAMIESON
RETIREMENT PLANNING APR 17, 2013
Pension rule can mean big Social Security cut

Mary Beth Franklin looks at the Government Pension Offset, which can can turn retirement planning upside down.

By Mary Beth Franklin
REGULATION AND LEGISLATION APR 17, 2013
State securities cops seek bill to ban pre-dispute arbitration for advisers

NASAA also backs SEC exam user fee, wants crowd-funding redress.

By Mark Schoeff Jr.
REGULATION AND LEGISLATION APR 17, 2013
SEC seeks info on fiduciary-duty cost-benefit analysis

Agency still hasn't gotten down to brass tacks on what rule would cost

By Mark Schoeff Jr.
REGULATION AND LEGISLATION APR 17, 2013
Finra appeals loss in Schwab arbitration case

Don't crank out those arb contracts just yet. Finra is challenging a ruling that OK'd waiver contracts, in which a client signs away the right to file a class-action lawsuit.

By DJAMIESON
REGULATION AND LEGISLATION APR 12, 2013
Judge lifts SEC bar against Richard Goble

Orders Securities and Exchange Commission to pay back $7,500 fine.

By DJAMIESON