Regulation And Legislation

Displaying 10529 results
REGULATION AND LEGISLATION NOV 09, 2011
Mary Schapiro lands in hot seat again

For SEC Chairman Mary Schapiro, last week's dust-up involving Finra is the latest in a string of embarrassments she has endured since taking over the embattled agency in 2009

By Liz Skinner
GOP now talking taxes, but Dems say they're talking through their hats
RIA NEWS NOV 08, 2011
GOP now talking taxes, but Dems say they're talking through their hats

Republicans OK with axing tax deductions for the rich, but marginal tax rates still a bone of contention

By John Goff
MUTUAL FUNDS NOV 07, 2011
Despite the fright, retirement savers rode out the storm

The following is an edited version of an Oct. 12 speech by Paul Schott Stevens, president and chief executive of the Investment Company Institute, before the Rotary Club of Seattle

By MFXFeeder
REGULATION AND LEGISLATION NOV 07, 2011
Ousted Krawcheck could be bounced from Finra board

It may not be her biggest concern right now, but the recently departed Sallie Krawcheck will have to land a new gig at a large brokerage firm or resign her newly won seat on Finra's board

By Dan Jamieson
MUTUAL FUNDS NOV 07, 2011
SEC's floating-NAV proposal slowly sinking

Apparently, the GOP is not so keen on the SEC's plan to let the net asset value of money market funds drift, rather than remain at a constant $1 per share. Fund firms are no doubt happy to hear it.

By Jessica Toonkel
Vanguard boss: Regulatory changes would kill off money funds
MUTUAL FUNDS NOV 07, 2011
Vanguard boss: Regulatory changes would kill off money funds

McNabb opposes excess capital requirements or floating rate NAV; 'will disappear'

By Bloomberg
Money fund 'fiction' a real threat to investors: FDIC's Bair
REGULATION AND LEGISLATION NOV 07, 2011
Money fund 'fiction' a real threat to investors: FDIC's Bair

FDIC boss Sheila Bair says money funds' stable NAV is 'destabilizing' the financial system. The fund industry begs to disagree.

By John Goff
REGULATION AND LEGISLATION NOV 06, 2011
All eyes on Washington

A bipartisan, bicameral 12-member panel, the supercommittee may be the best chance for any kind of substantial tax changes before next year's election

By Mark Schoeff Jr.
INDEPENDENT BROKER DEALERS NOV 06, 2011
UL reserve requirements catch eye of regulators

State regulators have signaled a push for recalculating reserve requirements on a certain type of universal-life insurance, a change that could lead to higher costs for policyholders, as well as fewer insurers' selling the product

By Darla Mercado
ETFS NOV 06, 2011
Future of financial transactions tax unclear

Legislation introduced last week that would impose a federal tax on financial transactions may be doomed as a stand-alone bill, but proponents say that it should be included in any broad deficit-reduction proposal

By Mark Schoeff Jr.
REGULATION AND LEGISLATION NOV 03, 2011
Buzz: Black eye for Finra

By Doug Cubberley
REGULATION AND LEGISLATION NOV 03, 2011
Credit raters favor companies that pay them the most: Study

Despite bashing of ratings agencies, big conflicts still remain, researchers say; current model 'tragically broken'

By John Goff
Finra director doctored records before inspection: SEC
REGULATION AND LEGISLATION NOV 03, 2011
Finra director doctored records before inspection: SEC

For the past few months, Finra has been promoting itself as the logical choice to oversee the compliance efforts of RIAs. Thursday's announcement by the SEC -- that it has ordered the regulator to improve its own compliance -- probably won't bolster Finra's case. Neither will the revelation that a Finra director allegedly doctored records that the SEC wanted to examine.

By Liz Skinner
RIAs lobby Bachus on SRO proposal
REGULATION AND LEGISLATION NOV 01, 2011
RIAs lobby Bachus on SRO proposal

Does your congressman know how an SRO would make your life more difficult? Did you tell him?

By Mark Schoeff Jr.
Occupy Wall Street now occupying more of Wall Street
REGULATION AND LEGISLATION NOV 01, 2011
Occupy Wall Street now occupying more of Wall Street

As hundreds milled about at Zuccotti Park today in Manhattan's Financial District, it became clear that Occupy Wall Street isn't just a young person's movement anymore. And it's gathering momentum.

By Darla Mercado
SEC claim that Morgan Keegan misled ARS investors is nixed
REGULATION AND LEGISLATION NOV 01, 2011
SEC claim that Morgan Keegan misled ARS investors is nixed

Judge shoots down SEC claim that Morgan Keegan misled auction-rate securities investors

By Doug Cubberley
Corzine to hedgies: Financial reform is necessary
REGULATION AND LEGISLATION NOV 01, 2011
Corzine to hedgies: Financial reform is necessary

While Mr. Corzine generally backs the Obama administration's push for regulatory reform, he doesn't agree with every piece of the legislation and has concerns about how new laws will be applied.

By Bloomberg
REGULATION AND LEGISLATION OCT 31, 2011
Mary Schapiro lands in hot seat again

By Doug Cubberley
RIA NEWS OCT 31, 2011
Vigilant compliance must be grounded by ethics

The following is an edited version of an Oct. 17 speech by Carlo V. di Florio, director of the Securities and Exchange Commission's Office of Compliance Inspections and Examinations, at the annual meeting of the National Society of Compliance Professionals in Baltimore

By MFXFeeder
REGULATION AND LEGISLATION OCT 30, 2011
ASPPA to Congress: Keep our tax breaks

Like many other industry groups, the American Society of Pension Professionals and Actuaries is redoubling its effort to communicate with federal lawmakers at a time when the massive federal budget deficit is causing Congress to consider new ways to produce revenue

By Mark Schoeff Jr.