Regulation And Legislation

Displaying 10526 results
Obama win means uncertainty the only certainty, advisers say
REGULATION AND LEGISLATION NOV 08, 2012
Obama win means uncertainty the only certainty, advisers say

Status quo election offers slim chance for compromise on fiscal cliff, tax cuts and fiduciary standard, advisers say following the Obama victory

By Mark Schoeff Jr.
Taxes deferred: Battle over investment tax breaks 'going to get ugly'
REGULATION AND LEGISLATION NOV 08, 2012
Taxes deferred: Battle over investment tax breaks 'going to get ugly'

Industry groups ready to go to the mat over deductions and other incentives

By Mark Schoeff Jr.
REGULATION AND LEGISLATION NOV 06, 2012
New adviser survey doesn't bode well for Obama

The latest Brinker Barometer does not bode particularly well for President Obama.

By Jeff Benjamin
REGULATION AND LEGISLATION NOV 05, 2012
Election to decide fiduciary regulation proposed by DOL

The fate of a proposed regulation that could have a profound impact on investment advisers is resting on the results of tomorrow's presidential election.

By Mark Schoeff Jr.
LIFE INSURANCE AND ANNUITIES NOV 04, 2012
Insurers prepare for new risk management law

By MFXFeeder
RIA NEWS NOV 04, 2012
Cut exposure to Medicare taxes

By Jeff Benjamin
REGULATION AND LEGISLATION NOV 02, 2012
CFP Board lays out penalties for violations

The CFP Board's new sanction guidelines cover 40 types of misconduct

By Mark Schoeff Jr.
Graceland: Regulators offer extensions in wake of Sandy
REGULATION AND LEGISLATION NOV 01, 2012
Graceland: Regulators offer extensions in wake of Sandy

Finra and SEC to provide grace period on certain filings for firms located in areas hit by massive storm

By DJAMIESON
REGULATION AND LEGISLATION OCT 30, 2012
Election outcome to determine fate of controversial fiduciary reg

Obama win would mean green light for DOL proposal; Romney, red

By Mark Schoeff Jr.
REGULATION AND LEGISLATION OCT 30, 2012
Fiduciary standard center stage at TD confab

By DJAMIESON
REGULATION AND LEGISLATION OCT 28, 2012
Time to end regulatory dillydallying

Uncertainty about the future weight of regulations making their way through the bureaucratic maze in Washington is harming the banks, their clients in corporate America and economic growth.

By MFXFeeder
REGULATION AND LEGISLATION OCT 26, 2012
Schapiro begins to shape legacy narrative

Mary Schapiro is widely expected to leave her post as head of the SEC. The latest sign: She has begun to talk about her legacy as chairman of the commission.

By Mark Schoeff Jr.
RIA NEWS OCT 26, 2012
Eight tax strategies for advisers to consider

By Paul Menchaca
REGULATION AND LEGISLATION OCT 25, 2012
Finra expels firm for 'brazen' defiance of SEC

Finra has expelled a securities outfit for allegedly lying to — and defying — the SEC. One claim: the firm's CEO was barred from running the brokerage, but continued to do so anyway.

By AOSTERLAND
REGULATION AND LEGISLATION OCT 25, 2012
Pawlenty now feeding at Wall Street 'trough' he once bashed

Former Presidential candidate taking over as CEO of financial services lobbying group

By John Goff
Huh? Dodd-Frank proposal gets bipartisan backing
REGULATION AND LEGISLATION OCT 25, 2012
Huh? Dodd-Frank proposal gets bipartisan backing

Muni adviser reform fast-tracked after committee consensus reached; possible blueprint for SRO proposal

By Mark Schoeff Jr.
Dodd-Frank: A banker's best friend
REGULATION AND LEGISLATION OCT 24, 2012
Dodd-Frank: A banker's best friend

In looking at the details, it's hard to figure why the financial services industry fought to kill Dodd-Frank.

By David Reilly
Baum: Five things Republicans won't tell you
REGULATION AND LEGISLATION OCT 24, 2012
Baum: Five things Republicans won't tell you

From magical tax loopholes to protectionist dogma, the GOP

By Caroline Baum
REGULATION AND LEGISLATION OCT 22, 2012
Finra's 'independent regulator' label gets closer scrutiny during SRO debate

As the Financial Industry Regulatory Authority Inc. begins its sixth year of existence, the perception of its relationship to the market it oversees has taken on new importance. Its self-description as an “independent regulator” has drawn new scrutiny in recent months, after legislation that would establish one or more self-regulatory organizations for investment advisers was introduced in the House. Finra is lobbying fiercely on behalf of the bill and covets the role of the adviser SRO.

By Mark Schoeff Jr.
ALTERNATIVES OCT 22, 2012
First REIT case goes against Lerner

By AOSTERLAND