Regulation And Legislation

Displaying 10526 results
RETIREMENT PLANNING OCT 22, 2012
SEC probes giant private REIT

By Bruce Kelly
REGULATION AND LEGISLATION OCT 21, 2012
Finra panel orders Merrill to pay $1.3M award

By Bruce Kelly
REGULATION AND LEGISLATION OCT 19, 2012
Attorneys float plan sponsor fee disclosure fix to Labor Department

A major law firm has pitched the Labor Department a program that would let broker-dealers and other service providers admit to and fix their fee disclosure errors without incurring the wrath of the agency.

By Darla Mercado
Romney goes all in, vows to cut out investment taxes on middle class
REGULATION AND LEGISLATION OCT 19, 2012
Romney goes all in, vows to cut out investment taxes on middle class

If elected, Mitt Romney says he will cut out all investment taxes on the middle class. Great news for advisers, right? Right?

By Mark Schoeff Jr.
RIA NEWS OCT 19, 2012
Massachusetts seeks to deny registration to adviser

Massachusetts has filed a complaint against a midsize adviser for allegedly misstating assets under management.

By DJAMIESON
Tardy midsize advisers warned about registration
REGULATION AND LEGISLATION OCT 19, 2012
Tardy midsize advisers warned about registration

June 28 is the day for advisers managing $25M-$90M to sign on for state oversight

By DJAMIESON
Romney embraces his Inner Massachusetts
REGULATION AND LEGISLATION OCT 16, 2012
Romney embraces his Inner Massachusetts

In the first presidential debate on Wednesday night, Republican presidential nominee Mitt Romney did something that he's resisted since he began his quest for the White House 18 months ago. He embraced his Inner Massachusetts. That moved him to the political center, where investment advisers reside.

By Mark Schoeff Jr.
Advisers: Romney performance will jump-start GOP campaign
REGULATION AND LEGISLATION OCT 16, 2012
Advisers: Romney performance will jump-start GOP campaign

Say debate clearly won by the Republican presidential candidate; 'extremely strong'

By Liz Skinner
REGULATION AND LEGISLATION OCT 14, 2012
Recession at bottom of cliff

By DJAMIESON
REGULATION AND LEGISLATION OCT 14, 2012
Explosion of crowd-funding sites has regulators worried

By DJAMIESON
FIXED INCOME OCT 14, 2012
SEC's Walter on bringing sunshine to the muni market

By MFXFeeder
REGULATION AND LEGISLATION OCT 14, 2012
SEC is urged to scrap Reg D rule

By Mark Schoeff Jr.
REGULATION AND LEGISLATION OCT 12, 2012
Cost-benefit analysis cuts both ways

Ever since the Dodd-Frank financial reform law was enacted, Capitol Hill Republicans and the financial industry have insisted that the Securities and Exchange Commission and other regulators carefully measure for the potential impact of new rules on the markets. Industry was not alone in traveling the cost-benefit-analysis highway this week. Fiduciary advocates demonstrated that it is a two-way street.

By Mark Schoeff Jr.
RIA NEWS OCT 12, 2012
SEC targets advisers who inflate credentials

The SEC is actively reviewing advisers' ADV forms. What's the commission looking for? Tarted up claims, including inflated education or professional credentials.

By DJAMIESON
State regulators to midsize shops: No need to hire compliance consultants
REGULATION AND LEGISLATION OCT 11, 2012
State regulators to midsize shops: No need to hire compliance consultants

Transition from SEC rule doesn't require outside help, just effort; fiddling with AUM

By Jeff Benjamin
'Eyes-on' compliance is too costly, vendor says
INDEPENDENT BROKER DEALERS OCT 11, 2012
'Eyes-on' compliance is too costly, vendor says

Albridge survey shows most brokerages fork out 10% of revenue on oversight

By Liz Skinner
SEC targeting the top in broker, advisory firm reviews
PRACTICE MANAGEMENT OCT 10, 2012
SEC targeting the top in broker, advisory firm reviews

The SEC says it is targeting senior management in its reviews of brokerages and advisory firms.

By DJAMIESON
PRACTICE MANAGEMENT OCT 10, 2012
Cap gains the flash point in tax imbroglio

Democrats and Republicans are headed for a big blowup over taxes — and the treatment of capital gains could be what sets them off.

By Mark Schoeff Jr.
How Congress averted the fiscal cliff — in the 1840s
REGULATION AND LEGISLATION OCT 09, 2012
How Congress averted the fiscal cliff — in the 1840s

The latest round of budgetary brinksmanship recalls a similar government flirtation with financial calamity

By Alasdair Roberts
Top-ranking Senate Dem calls for rise in capital gains rate
REGULATION AND LEGISLATION OCT 08, 2012
Top-ranking Senate Dem calls for rise in capital gains rate

Schumer lacks specifics of tax plan; Republicans balk

By Mark Schoeff Jr.