Regulation And Legislation

Displaying 10529 results
Massages and mortgages no basis for an economy: Zakaria
REGULATION AND LEGISLATION AUG 05, 2011
Massages and mortgages no basis for an economy: Zakaria

Foreign-policy guru says U.S. needs to invest in advanced manufacturing to create jobs; cheap overseas labor not going away

By Mark Schoeff Jr.
Fed embarks on QE2.5
REGULATION AND LEGISLATION AUG 05, 2011
Fed embarks on QE2.5

The Fed says it will begin swapping cheap short-term debt for cheap long-term debt, all in a bid to boost the flagging economy. Says one economist: 'It's a modest step.' But the Fed's admission of a potential long-term slowdown has caused <a href=http://www.investmentnews.com/article/20110922/FREE/110929977>a drop in stocks</a> around the world.<br> | <b>Extra</b> <a href=http://edit.investmentnews.com/apps/pbcs.dll/gallery?Site=CI&amp;Date=20110805&amp;Category=FREE&amp;ArtNo=805009999&amp;Ref=PH>The latest odds on another recession</a>

By John Goff
S&P seen surrendering to Tea Party with credit downgrade
REGULATION AND LEGISLATION AUG 05, 2011
S&P seen surrendering to Tea Party with credit downgrade

Critics are not happy with S&amp;P's historic lowering of the U.S. credit rating. They claim the decision is based more on politics than finances. And an alleged $2 trillion 'basic math error' in calculating the government's deficit has not exactly boosted confidence in the rating agency's decision.

By John Goff
So far, lawmakers apply moral suasion only to slow Labor fiduciary rule
REGULATION AND LEGISLATION AUG 05, 2011
So far, lawmakers apply moral suasion only to slow Labor fiduciary rule

By Mark Schoeff Jr.
REGULATION AND LEGISLATION AUG 05, 2011
B-D to settle private-placement suits

A broker-dealer that was a prominent seller of high-risk private placements that wound up going bust has almost wiped the slate clean of costly litigation that could have impaired the firm's financial condition

By Bruce Kelly
Great-West, Lincoln Trust jump on plan and participant fee disclosures
LIFE INSURANCE AND ANNUITIES AUG 03, 2011
Great-West, Lincoln Trust jump on plan and participant fee disclosures

Lincoln Trust and Great-West claim the Labor Department's disclosure rules don't go far enough when it comes to fixed general account fees for insurers.

By Darla Mercado
Boiler room convict whose trades beat the market seeks leniency
REGULATION AND LEGISLATION AUG 03, 2011
Boiler room convict whose trades beat the market seeks leniency

Kenneth Marsh, who pleaded guilty in April to charges he misled investors into paying fees for phony investment advice, should be sentenced leniently in part because he consistently helped clients turn profits, his lawyer said.

By Doug Cubberley
REGULATION AND LEGISLATION AUG 03, 2011
Mr. Bates goes to Washington?

A financial adviser for 13 years, Don Bates Jr. seems determined to find a place for himself in Congress

By Liz Skinner
SEC blasts B-Ds over sales of reverse convertibles
REGULATION AND LEGISLATION AUG 02, 2011
SEC blasts B-Ds over sales of reverse convertibles

Broker-dealers have been engaging in sales practices for structured securities products that hurt retail investors, according to a Securities and Exchange Commission report.

By Mark Schoeff Jr.
House Republicans call Dodd-Frank a failure as anniversary nears
REGULATION AND LEGISLATION AUG 02, 2011
House Republicans call Dodd-Frank a failure as anniversary nears

Report from Rep. Spencer Bachus outlines the law's impact and says the law has not lived up to the expectations set last year by Treasury Secretary Geithner and congressional Democrats.

By Doug Cubberley
GOP is starving Dodd-Frank, says law's co-author
REGULATION AND LEGISLATION AUG 02, 2011
GOP is starving Dodd-Frank, says law's co-author

Barney Frank says lack of funding is impeding implementation

By Mark Schoeff Jr.
REGULATION AND LEGISLATION AUG 01, 2011
Debt ceiling talks may foreshadow tax reform

In the days prior to the collapse Friday of negotiations over raising the debt ceiling, the outlines of major tax reform that likely will be required in the long run to restore fiscal balance in Washington began to take shape

By Mark Schoeff Jr.
Trader who threatened to kill Schapiro, Finra officials pleads guilty
REGULATION AND LEGISLATION AUG 01, 2011
Trader who threatened to kill Schapiro, Finra officials pleads guilty

McCrudden faces ten years in prison for Internet threats against regulators; allegedly posted execution list on his company website

By John Goff
REGULATION AND LEGISLATION JUL 29, 2011
Taxes, rising rates will hit rich in the wallet, experts say

The year 2013 may snap a 12-year winning streak for wealthy Americans on taxes due on income, capital gains, dividends and money given to their heirs

By Bloomberg
REGULATION AND LEGISLATION JUL 28, 2011
Buzz: Finra sounds the alarm about these three investments

Finra has warned investors about chasing yield with structured products, junk bonds and floating-rate bank-loan funds.

By Doug Cubberley
REGULATION AND LEGISLATION JUL 28, 2011
SEC blasts B-Ds

Broker-dealers have been engaging in sales practices for structured securities products that hurt retail investors, according to an SEC report.

By Mark Bruno
Cost of U.S. downgrade? It's a big tab
REGULATION AND LEGISLATION JUL 28, 2011
Cost of U.S. downgrade? It's a big tab

Moody's estimates loss of AAA rating would add $100B to Uncle Sam's carrying costs; impact on Treasuries 'significant'

By John Goff
Massachusetts suing RBC Capital, rep over leveraged ETF sale
ETFS JUL 28, 2011
Massachusetts suing RBC Capital, rep over leveraged ETF sale

Massachusetts' top securities regulator is suing RBC Capital Markets LLC and one of its former registered representatives over the sale of leveraged exchange-traded funds, saying they sold them to clients who didn't understand how the investments worked.

By Doug Cubberley
SEC makes it official: Adviser switch delayed until March 30
PRACTICE MANAGEMENT JUL 28, 2011
SEC makes it official: Adviser switch delayed until March 30

Investment advisers who must migrate from regulation by the Securities and Exchange Commission to state oversight now will have extra time to make the transition.

By Mark Schoeff Jr. and Dan Jamieson
REGULATION AND LEGISLATION JUL 28, 2011
'Madoff' audits will crimp broker-dealers

An SEC rule proposal intended to thwart the likes of Bernard Madoff likely would result in significantly higher compliance costs for smaller broker-dealers.

By Mark Schoeff Jr.