Regulation And Legislation

Displaying 10528 results
REGULATION AND LEGISLATION FEB 09, 2012
Advisers see Romney as centrist most likely to unseat Obama

Mitt Romney may have trouble convincing some Republicans of his conservative bona fides, but his emergence as the GOP presidential front-runner is just fine with investment advisers, many of whom think that he has the best chance of beating President Barack Obama.

By Mark Schoeff Jr.
REGULATION AND LEGISLATION FEB 09, 2012
Romney tax plan more deficit booster than deficit buster: Study

A new study by the non-partisan Tax Policy Center shows that Mitt Romney's tax plan would add $600 billion to the government shortfall.

By John Goff
Investment pros see Romney's tax break as welfare for the Mitt
REGULATION AND LEGISLATION FEB 07, 2012
Investment pros see Romney's tax break as welfare for the Mitt

Survey finds little support for carried interest income treatment; 'scream bloody murder'

By John Goff
Ketchum: Finra's focus on conflicts of interest compounding
REGULATION AND LEGISLATION FEB 03, 2012
Ketchum: Finra's focus on conflicts of interest compounding

SRO's boss says issue now a top concern for regulator; also homing in on disclosure for complex products

By Bruce Kelly
Finra-Schwab dispute heats up
REGULATION AND LEGISLATION FEB 03, 2012
Finra-Schwab dispute heats up

Flap stems from brokerage's new arbitration agreement prohibiting customers from filing class action

By Dan Jamieson
RIA NEWS FEB 03, 2012
Don't change rules because of deadbeat brokers

While brokerage firms have every right to expect former brokers to honor the agreements they make when accepting recruiting and retention bonuses, Finra should resist pressure to rewrite its rules to make it easier for firms to collect unreturned bonuses.

By MFXFeeder
Top corporations spent more on CEO comp, lobbying than taxes
REGULATION AND LEGISLATION FEB 03, 2012
Top corporations spent more on CEO comp, lobbying than taxes

Offshore tax havens reduced bill substantially; Levin, others target loopholes

By John Goff
TD foots bill for study of investment adviser oversight
REGULATION AND LEGISLATION FEB 03, 2012
TD foots bill for study of investment adviser oversight

Move lauded by industry and consumer groups; 'need to get all the facts out on the table'

By Mark Schoeff Jr.
Fee disclosures could put the squeeze on 401(k) fund firms
RETIREMENT PLANNING FEB 02, 2012
Fee disclosures could put the squeeze on 401(k) fund firms

Asset managers that provide investments and nothing else may feel pricing pressure from index funds, plans sponsors

By Darla Mercado
Now, Dems iffy about universal fiduciary duty
REGULATION AND LEGISLATION FEB 02, 2012
Now, Dems iffy about universal fiduciary duty

Influential senator tells NAIFA a single standard should not hinder investors' ability to get advice

By Bloomberg
RIA NEWS FEB 02, 2012
Retirement plan brokers outsource fiduciary duties

As the Labor Department and lobbyists wrangle over who can provide advice to retirement plan participants, the marketplace has come up with an increasingly popular solution that satisfies current and potential requirements.

By Darla Mercado
Complex investment products to see more scrutiny
REGULATION AND LEGISLATION FEB 01, 2012
Complex investment products to see more scrutiny

Finra 'puts firms on notice' about their internal supervisory procedures regarding complex investment products

By Dan Jamieson
Romney got whopping refund from IRS
REGULATION AND LEGISLATION JAN 31, 2012
Romney got whopping refund from IRS

Uncle Sam sent presidential candidate $1.6M check for 2010; 'paid 100 percent of what he owes'

By John Goff
REGULATION AND LEGISLATION JAN 30, 2012
Broker brothers charged over alleged sale of 'funny paper'

Wolfsons made millions off naked short selling of Chipotle Mexican Grill, SEC claims

By Bloomberg
Dallas Fed head called Bill Gross an 'oddball' during meeting
REGULATION AND LEGISLATION JAN 30, 2012
Dallas Fed head called Bill Gross an 'oddball' during meeting

After making remark, Fisher asked to have comment withheld from transcript; 'Lindsay Lohan Congresses'

By John Goff
REGULATION AND LEGISLATION JAN 30, 2012
An intriguing idea: Let RIAs hire their own examiners

Regulators and RIAs would be better off if the latter were allowed to hire their own examiners — at least that's what one Georgetown professor contends.

By Dan Jamieson
Senator to Citi: Enough already with the tax forms for frequent-flier miles
REGULATION AND LEGISLATION JAN 29, 2012
Senator to Citi: Enough already with the tax forms for frequent-flier miles

Brown sends letter to Pandit telling bank to stop sending 1099s to customers who received miles for opening savings accounts; 'creating baseless fear'

By Bloomberg
REGULATION AND LEGISLATION JAN 29, 2012
Dodd-Frank deadline looms for family offices

By Bloomberg
INsider: Murdoch slams Obama over carried interest — but why?
REGULATION AND LEGISLATION JAN 27, 2012
INsider: Murdoch slams Obama over carried interest — but why?

Publishing tycoon tweets asks why President hasn't addressed controversial tax; he has

By Bloomberg
Opinion: Buffett rule flat-out misses the point
REGULATION AND LEGISLATION JAN 26, 2012
Opinion: Buffett rule flat-out misses the point

It's time to come to grips with misconceptions about taxing the rich

By Bloomberg