Regulation And Legislation

Displaying 10529 results
View: Bachmann shifts into overdrive, but attack on Buffett a clunker
REGULATION AND LEGISLATION AUG 16, 2011
View: Bachmann shifts into overdrive, but attack on Buffett a clunker

Slam of Oracle's willingess to pay more taxes made a good sound byte -- but not much sense

By John Goff
Republicans savage Buffett and his tax proposal
REGULATION AND LEGISLATION AUG 16, 2011
Republicans savage Buffett and his tax proposal

Berkshire boss suddenly a lightning rod for criticism after stating wealthy should pay more; 'needs a day job'

By John Goff
REGULATION AND LEGISLATION AUG 15, 2011
SIFMA pushes for adaptable fiduciary standard

The major lobbying group for large broker-dealers last week urged the SEC to develop a new fiduciary standard that could change from customer to customer and which would be spelled out at the start of an adviser-client relationship

By Mark Schoeff Jr.
Brooklyn money manager gets 20 years for Ponzi scheme
REGULATION AND LEGISLATION AUG 15, 2011
Brooklyn money manager gets 20 years for Ponzi scheme

The longest-running Ponzi scheme ever? Philip Barry, a money manager from Brooklyn, was sentenced to 20 years in prison for running a $45 million Ponzi scheme that defrauded hundreds of investors over three decades.

By Doug Cubberley
FINTECH AUG 14, 2011
Financeware sues UBS over patent

By Davis Janowski
REGULATION AND LEGISLATION AUG 14, 2011
New landscape may spur committee to take action

By Mark Schoeff Jr.
REGULATION AND LEGISLATION AUG 12, 2011
Adviser SRO teams with fi360 to ready its fiduciary exam

The exam brings the SROIIA a little bit closer to acting as a self-regulatory organization over investment advisers. But will the SEC approve?

By Darla Mercado
REGULATION AND LEGISLATION AUG 12, 2011
How negotiations may affect tax reform

By MFXFeeder
REGULATION AND LEGISLATION AUG 12, 2011
FSI to back Moloney in Finra race

Influential group will endorse one of its own for small-firm seat; ramped-up regulations No.1 concern

By Dan Jamieson
REGULATION AND LEGISLATION AUG 12, 2011
Broker-dealer groups heavily armed in fiduciary battle

In the high-stakes political game surrounding the adoption of a fiduciary standard, broker-dealer interest groups have outgunned their opposition in spending.

By MFXFeeder
REGULATION AND LEGISLATION AUG 12, 2011
SRO push is gaining momentum

The creation of a self-regulatory organization for investment advisers took a step forward last week when the Consumer Federation of America dropped its longtime opposition to the idea, saying that an SRO would be better than relying on the chronically underfunded SEC as a regulator

By Mark Schoeff Jr.
Want to blow the whistle? Don't try calling the SEC
REGULATION AND LEGISLATION AUG 12, 2011
Want to blow the whistle? Don't try calling the SEC

Commission wants complaints lodged via e-mail, fax or online — but not by phone; what would McGruff think?

By Dan Jamieson
House Republicans aim to reroute whistle-blowers
REGULATION AND LEGISLATION AUG 12, 2011
House Republicans aim to reroute whistle-blowers

In a battle over Dodd Frank, House Republican want whistle-blowers to go through compliance departments first, then the SEC. Democrats say that's backwards.

By Mark Schoeff Jr.
Securities reporting rule could make for some insecure advisers
REGULATION AND LEGISLATION AUG 11, 2011
Securities reporting rule could make for some insecure advisers

Ramped-up role in spelling out tax implications of stock sales might well be 'differentiator' in landing prospects; boon to some, bane to others

By Lavonne Kuykendall
The B-S solution to the fiduciary issue
REGULATION AND LEGISLATION AUG 11, 2011
The B-S solution to the fiduciary issue

With everything Washington politicians have to worry about this year — gigantic budget deficits, getting re-elected, the disintegration of Arab countries, getting re-elected, the rotten economy and getting re-elected — there's a good chance the fiduciary-standard issue may not be resolved for quite some time.

By Evan Cooper
Supercommittee policy will follow personnel
FIXED INCOME AUG 10, 2011
Supercommittee policy will follow personnel

The bicameral, bipartisan 12-person supercommittee must consider changes both to taxes and entitlements to make fundamental changes in the deficit trajectory. But will members be willing to break with party orthodoxy?

By Mark Schoeff Jr.
REGULATION AND LEGISLATION AUG 09, 2011
Citi settles case over assistant who allegedly stole from elderly and ill

Former registered sales assistant accused of misappropriating $750K from 22 clients in Palo Alto office

By Liz Skinner
REGULATION AND LEGISLATION AUG 09, 2011
Financeware sues UBS and makers of MoneyGuidePro for patent infringement

By Davis Janowski
REGULATION AND LEGISLATION AUG 09, 2011
S&P downgrades could put pressure on 'supercommittee'

If Main Street blames Washington for debt rating and market decline, Congress could feel constituents' wrath

By Bloomberg
REGULATION AND LEGISLATION AUG 07, 2011
Philly RIA to return $11M to clients

A Philadelphia registered investment adviser has agreed to return nearly $11 million for misappropriating funds from clients who were told their money would support socially conscious investments, while it really went to pay the adviser's debts and for other purposes, according to federal regulators

By Liz Skinner