Displaying 184 results
PATENT REFORM: Senate likely to act on measure that bans tax-strategy trademarks
Just before leaving for August recess, the Senate moved toward a vote to proceed on a patent reform…
FIDUCIARY DUTY: Fiduciary duty, potential adviser SRO get their day in the sun
For the first time since the Dodd-Frank financial reform law was enacted 14 months ago, Congress will formally…
SEC: Republicans launch effort to reform SEC
Ever since they gained control of the House of Representatives in January, Republicans have been hammering the Securities…
BUDGET: Debt-ceiling measure tees up the main event for Congress this fall – deficit reduction
This fall everyone on Capitol Hill – and around Washington – will be following the work of the…
DOL FIDUCIARY REGS: Rule targeting retirement plan advisers still coming
Phyllis Borzi, the assistant Labor secretary who heads the Employee Benefits Security Administration, continues to stick to her…
GAO REPORT: Finra should boost mutual fund ad communications
The Financial Industry Regulatory Authority Inc. should improve how it communicates rule interpretations for mutual fund advertising, according…
ARBITRATION: Finra wants to ban class action employment claims
Finra will propose a rule change that could help brokers in class action employment claims. Specifically, it wants…
COURTS: SEC proxy access rule vacated
A SEC proxy access rule that would require public companies, including investment companies, to include shareholder director nomination…
PATENT REFORM: House approves bill that bars tax-strategy patents
The House passed its version of patent reform, HR 1249, in late June. Both…
SEC FUNDING: House Appropriations Committee freezes SEC budget at FY11 level
The House Appropriations Committee on June 23 approved a measure that would allocate $1.185…
SEC: Mutual funds warned 12(b)-1 fees on regulatory agenda again soon
SEC Chairman Mary Schapiro told reporters at the Investment Company Institute’s annual general-membership meeting in Washington that the…
SEC and FINRA: Regulators seem at odds over private placements
SEC Chairman Mary Schapiro told the House Committee on Oversight and Government Reform that her staff is considering…
SEC FIDUCIARY: Economists put to work to gather data for rule-making process
SEC Chairman Mary Schapiro asked her agency’s economists to gather data to help “inform whatever rule” the commission…
SEC: More money fund regulations in sight
Even though the SEC tightened rules on the $2.7 trillion money market industry 17 months ago, regulators are…
INSURANCE REGULATION: Are insurers skimping on death benefits?
State regulators are investigating insurance carriers for failing to pay death benefits or submit the money to the…
FINRA: Reg D crackdown
Finra is stepping up its pursuit of broker-dealers and executives involved in the sales of failed Regulation D…
FINRA: Agency advocating on Capitol Hill for adviser SRO
Finra is investing substantial resources to persuade Congress to authorize a self-regulatory organization for investment advisers. Finra would…
LABOR DEPARTMENT: Comment period ends for lifetime income options in retirement plans
The comment period ended yesterday for a Labor Department initiative focused on ensuring that retirement savings last until…
MUNI BONDS: MSRB encouraging broker disclosure
The Municipal Securities Rulemaking Board, which oversees the sale of municipal securities but is not a regulator, is…
REITS: Senate notes the investment’s economic contribution
The Senate has approved a resolution, S. RES 60, recognizing the 50th anniversary of the date of…
