Regulation And Legislation

Displaying 10526 results
REGULATION AND LEGISLATION DEC 16, 2012
Finra dials it back on suitability rule

By DJAMIESON
RETIREMENT PLANNING DEC 16, 2012
Galvin's LPL suit a boon to plaintiffs

Last week, Massachusetts sued LPL for its sales and marketing of a popular nontraded REIT. Expect the plaintiffs' bar to swoop in as well.

By Bruce Kelly
RETIREMENT PLANNING DEC 13, 2012
Are Roth IRA assets safe from Washington's revenue hunt?

AMT could provide backdoor access to Roth IRA gold mine

By Jeff Benjamin
Standards deviation: Universal fiduciary proposal a goner
REGULATION AND LEGISLATION DEC 13, 2012
Standards deviation: Universal fiduciary proposal a goner

Push for single code of conduct 'in a coma'

By Mark Schoeff Jr.
REGULATION AND LEGISLATION DEC 13, 2012
Surprise! Fiduciary advocate calls Finra best hope for progress

With the SEC seemingly toothless, a top consumer advocate now believes the SRO is the best hope for raising the standard of care for reps.

By Mark Schoeff Jr.
Single fiduciary standard from SEC, DOL would create multiple problems, says consultancy
REGULATION AND LEGISLATION DEC 13, 2012
Single fiduciary standard from SEC, DOL would create multiple problems, says consultancy

Top of the list: investors would have less protection, not more

By Mark Schoeff Jr.
House rep: Image-conscious Schapiro to blame for Reg D delay
REGULATION AND LEGISLATION DEC 10, 2012
House rep: Image-conscious Schapiro to blame for Reg D delay

McHenry claims SEC boss' concern about legacy has stalled bi-partisan private placement proposal

By Mark Schoeff Jr.
REGULATION AND LEGISLATION DEC 09, 2012
U.K. advisers may exit industry in '13

By DJAMIESON
If Uncle Sam taxes munis, munis could tax Uncle Sam
FIXED INCOME DEC 07, 2012
If Uncle Sam taxes munis, munis could tax Uncle Sam

If lawmakers try to balance the federal budget by taxing muni bond income, individual states will have the green light to start taxing the income from Treasury bonds owned by state residents.

By Jeff Benjamin
'Other half' now down to one percent
REGULATION AND LEGISLATION DEC 07, 2012
'Other half' now down to one percent

New data shows richest Americans getting richer, while ranks of middle-class and lower-income earners swell

By John Goff
Crowding into crowdfunding biz has regulators worried
REGULATION AND LEGISLATION DEC 06, 2012
Crowding into crowdfunding biz has regulators worried

State officials uncover 8,500 web sites with 'crowdfund' in their names

By DJAMIESON
REGULATION AND LEGISLATION DEC 06, 2012
State actions against investment firms rise dramatically

State securities regulators doubled the number of enforcement cases brought against investment advisers last year as a tougher regulatory environment led investigators to focus on inappropriate advice or practices that could lead to investor fraud.

By Liz Skinner
RETIREMENT PLANNING DEC 05, 2012
MassMutual settles with SEC over VA disclosures

Carrier failed to reveal the negative impact of a growth cap on rider; agents also confused.

By Darla Mercado
REGULATION AND LEGISLATION DEC 02, 2012
Fiscal cliff? Not gonna happen

By MFXFeeder
REGULATION AND LEGISLATION DEC 02, 2012
New SEC head faces gridlock

When she takes over the SEC this month, Elisse Walter will both celebrate the crowning achievement of her regulatory career and confront her biggest political headache.

By Mark Schoeff Jr.
ALTERNATIVES DEC 02, 2012
Private-equity set does tax tango

By Bloomberg
Finra to consider new disclosure rule
INDEPENDENT BROKER DEALERS NOV 29, 2012
Finra to consider new disclosure rule

Finra eyes requiring the disclosure of recruiting incentives to clients | <b>Sarch:</b> <a href=http://www.investmentnews.com/article/20121129/BLOG01/121129937>Transparency for bonuses? Bring it on! &amp;raquo;</a>

By DJAMIESON
In auction of fraudsters' treasures, guitars the stars
REGULATION AND LEGISLATION NOV 28, 2012
In auction of fraudsters' treasures, guitars the stars

More than $350K raised in sale of vintage Les Pauls, Strats; proceeds to go to investors scammed by Rand family

By Darla Mercado
REGULATION AND LEGISLATION NOV 28, 2012
Committee OKs bill to limit scope of municipal adviser regulation

Legislation that would limit the scope of regulation requiring municipal advisers to register with the Securities and Exchange Commission sailed through a congressional panel Wednesday.

By Mark Schoeff Jr.
Weil: SEC loudly trumpets cases but hits 'mute' when it loses
REGULATION AND LEGISLATION NOV 26, 2012
Weil: SEC loudly trumpets cases but hits 'mute' when it loses

Regulator typically announces charges amid great fanfare but tends to bury its losers

By Johnathan Weil