Regulation And Legislation

Displaying 10526 results
REGULATION AND LEGISLATION JAN 29, 2013
New SEC boss Walter may not be lame duck

Many observers think newly designated SEC chair Elisse Walter will be a lame-duck boss. They may be wrong. <a href=http://www.investmentnews.com/article/20121127/FREE/121129970>Dwyer: Krawcheck, please</a> &amp;raquo;

By Mark Schoeff Jr.
Financial planner involved in NBA players' union probe: Report
REGULATION AND LEGISLATION JAN 29, 2013
Financial planner involved in NBA players' union probe: Report

Union paid $4.8M to members of union chief's family for financial planning, legal services

By Doug Cubberley
REGULATION AND LEGISLATION JAN 28, 2013
Live! OneVoice2013: Fiduciary rule tops FSI's 2013 priority list

Regulatory reform and protecting independent contractor reps also big.

By Bruce Kelly
Finra seeks to tighten arbitrator rule
REGULATION AND LEGISLATION JAN 28, 2013
Finra seeks to tighten arbitrator rule

Finra wants to tighten up its arbitration procedure. For starters, the self-regulator aims to bar hedgies and mutal fund executives from panels.

By DJAMIESON
Will Washington kill the muni tax exemption?
FIXED INCOME JAN 28, 2013
Will Washington kill the muni tax exemption?

Politics trumps logic, basic math in Capitol Hill cat fight

By Jeff Benjamin
REGULATION AND LEGISLATION JAN 28, 2013
Broker a part of 'phone tree of inside information,' SEC charges

Allegedly tipped girlfriend, business partner about M&amp;A deals

By Liz Skinner
OPINION JAN 27, 2013
On retirement policy, don't mess with success

To start scrapping savings incentives would undermine the foundation of our retirement system, risking wider damage

By Paul Schott Stevens
MUTUAL FUNDS JAN 27, 2013
ICI criticizes risk council

By Bloomberg
ALTERNATIVES JAN 27, 2013
Banks may sue feds over the Volcker rule

By MFXFeeder
REGULATION AND LEGISLATION JAN 27, 2013
More trouble for Thompson

By Bruce Kelly
Treasury on platinum coin: Thanks, but no thanks
REGULATION AND LEGISLATION JAN 25, 2013
Treasury on platinum coin: Thanks, but no thanks

Debt-ceiling dodge proposed by Dems holds no currency with agency

By John Goff
REGULATION AND LEGISLATION JAN 24, 2013
SEC might be productive despite 2-2 split

Republican Commissioner Gallagher praises Walter's outreach.

By Mark Schoeff Jr.
Ex-U.S. Attorney White being considered for SEC chair: Sources
REGULATION AND LEGISLATION JAN 24, 2013
Ex-U.S. Attorney White being considered for SEC chair: Sources

Would succeed Walter, who took over as chairman last month.

By Gregory Crawford
REGULATION AND LEGISLATION JAN 23, 2013
Slick SEC pick could keep Obama out of a fix

Why President Obama's 'designation' of Elisse Walter as SEC chairman was a shrewd political move. | <a href=http://www.investmentnews.com/article/20121127/FREE/121129970>Dwyer: Krawcheck, please</a> &amp;raquo;

By Mark Schoeff Jr.
MUTUAL FUNDS JAN 20, 2013
McNabb to FSOC: Forget funds

By AOSTERLAND
Private-placement debate now public — and very ugly — feud
REGULATION AND LEGISLATION JAN 18, 2013
Private-placement debate now public — and very ugly — feud

Fur still flying over SEC's delay in allow advertising for Reg D offerings and the like

By DJAMIESON
Will Khuzami be the next SEC chief?
REGULATION AND LEGISLATION JAN 17, 2013
Will Khuzami be the next SEC chief?

Expected exit of enforcement chief raises questions about who will be the regulator's longterm boss

By Mark Schoeff Jr.
Walter home alone at SEC
REGULATION AND LEGISLATION JAN 17, 2013
Walter home alone at SEC

Agency inertia may help overcome division leadership turnover

By Mark Schoeff Jr.
REGULATION AND LEGISLATION JAN 17, 2013
Dwyer on SEC shuffle: Krawcheck, please

The SEC needs a high-profile, forceful boss -- not a caretaker

By Paula Dwyer
New chairman, same logjam at SEC
REGULATION AND LEGISLATION JAN 16, 2013
New chairman, same logjam at SEC

Walter eyeing Reg D ad rule, fiduciary standard -- but faces uphill slog

By Mark Schoeff Jr.