Regulation And Legislation

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Big wheel in hubcap business charged with real estate investment fraud
REGULATION AND LEGISLATION NOV 26, 2012
Big wheel in hubcap business charged with real estate investment fraud

Robert Langguth allegedly cheated more than 100 investors out of $16.7M

By AOSTERLAND
REGULATION AND LEGISLATION NOV 26, 2012
Schapiro's endgame

Mary Schapiro is nearly four years into her term as chairman of the Securities and Exchange Commission. Will she see a fifth? Speculation is that Ms. Ms. Schapiro is on her way out — probably of her own accord.

By AOSTERLAND
REGULATION AND LEGISLATION NOV 21, 2012
Firm hiked AUM by moving decimal point to the right: SEC

Claims Barthelemy Group exaggerated assets 'tenfold'

By Jeff Benjamin
REGULATION AND LEGISLATION NOV 18, 2012
Getting a second wind, DOL likely to breathe harder on ERISA advisers

Financial advisers and broker-dealers can expect a re-energized Labor Department to step up enforcement actions and investigations next year, thanks to the election.

By Darla Mercado
REGULATION AND LEGISLATION NOV 18, 2012
Budget deal is likely to occur, strategist says

By DJAMIESON
REGULATION AND LEGISLATION NOV 16, 2012
Lunch encounter: Chance meeting convinces Aikin fidush change on the way

Says DOL's Borzi emphatic about pushing through new definition of fiduciary

By DJAMIESON
Deal or no deal? Deal, predicts strategist
REGULATION AND LEGISLATION NOV 16, 2012
Deal or no deal? Deal, predicts strategist

Deal, predicts Schwab's top strategist, who thinks the fiscal cliff will be averted. But say goodbye to low cap gains rates. | <a href=http://www.investmentnews.com/article/20121113/FREE/121119974>Osterland: Bland, not grand, bargain would suffice</a> &amp;raquo;

By DJAMIESON
Bland — not grand — bargain would suffice, strategist says
REGULATION AND LEGISLATION NOV 16, 2012
Bland — not grand — bargain would suffice, strategist says

Small compromises and concession would likely help U.S. steer clear of fiscal cliff

By AOSTERLAND
Finra extends key deadlines in Sandy's wake
REGULATION AND LEGISLATION NOV 15, 2012
Finra extends key deadlines in Sandy's wake

SRO's NYC office closed due to storm

By DJAMIESON
First Sandy, now Sandy scams
REGULATION AND LEGISLATION NOV 15, 2012
First Sandy, now Sandy scams

State regulators warn about con artists touting hurricane-related investments, other come-ons

By Mark Schoeff Jr.
REGULATION AND LEGISLATION NOV 13, 2012
Obama legacy hangs on deal

By AOSTERLAND
Suddenly, money fund reform back in play
MUTUAL FUNDS NOV 13, 2012
Suddenly, money fund reform back in play

SEC opponent of earlier money fund reform now backs floating NAV; tide turning?

By John Goff
Schapiro raises the white flag on money funds
REGULATION AND LEGISLATION NOV 13, 2012
Schapiro raises the white flag on money funds

For months, SEC boss Mary Schapiro has battled industry heavyweights opposed to her plan for reforming money-market funds. Late last night, Schapiro gave up the fight.

By John Goff
Fed's Dudley backs overhaul of money fund rules
REGULATION AND LEGISLATION NOV 13, 2012
Fed's Dudley backs overhaul of money fund rules

William C. Dudley, president of the Federal Reserve Bank of New York, said new rules are needed to protect the financial system from a run on money-market mutual funds.

By Bloomberg
REGULATION AND LEGISLATION NOV 12, 2012
State regulators blast SEC over Reg D ad proposal

Rule would open door to general solicitation for private securities

By DJAMIESON
ALTERNATIVES NOV 12, 2012
Behringer Harvard hit with suit

One of the largest nontraded REITs has been sued by an investor in a potential class action, with the investor alleging negligence and a breach of fiduciary duty.

By Bruce Kelly
Advisers rally around Rhoades after NAPFA bow-out
REGULATION AND LEGISLATION NOV 12, 2012
Advisers rally around Rhoades after NAPFA bow-out

Advisers rally around Ron Rhoades, who yesterday bowed out as the next chairman of NAPFA after acknowledging a minor compliance violation.

By Darla Mercado
REGULATION AND LEGISLATION NOV 11, 2012
RIAs might be winners in election

By Mark Schoeff Jr.
REGULATION AND LEGISLATION NOV 09, 2012
Avoiding fiscal cliff comes down to war of wordplay

Will Obama settle for more 'revenue' rather than higher 'rates' from wealthy?

By Mark Schoeff Jr.
REGULATION AND LEGISLATION NOV 08, 2012
Revenue generator: Go after wealthy tax deadbeats, GAO says

IRS focus on individuals, small business with income over $200k could bring in extra $1B.

By Liz Skinner