Regulatory & Compliance (359)
Regulator Calls for Bond Market Reform
- Friday, 27 June 2014
- Regulatory & Compliance
- Written by PFA News
Securities and Exchange Commission Chair Mary Jo White is proposing a host of reforms for the bond market, including requiring electronic dealer networks to publicly display their best prices for bonds. So reports Reuters.
Read more...House Trims Obama SEC Budget Request
- Friday, 27 June 2014
- Regulatory & Compliance
- Written by PFA News
The House Appropriations Committee has approved a Bill that would give the Securities and Exchange Commission a $1.4 billion allocation for fiscal year 2015. So reports ThinkAdvisor.
Read more...SEC Identifies Recent Areas of Focus
- Friday, 20 June 2014
- Regulatory & Compliance
- Written by PFA News
The Securities and Exchange Commission’s asset management division and broker-dealer task force have been focused on firm’s compliance programs, investment advisory fraud, and advisors’ fulfillment of their fiduciary duties. So reports ThinkAdvisor.
Read more...DOL's Fiduciary Rule May Take a Year or Two More
- Friday, 20 June 2014
- Regulatory & Compliance
- Written by PFA News
The Department of Labor’s fiduciary rule, which is expected to be proposed in January, may not be finalized until 2016 or later. So reports Benefitspro.
Read more...SEC Unveils Plans for High Frequency Trading Oversight
- Sunday, 15 June 2014
- Regulatory & Compliance
- Written by PFA News
The Securities and Exchange Commission has disclosed its plans to increase oversight of high frequency trading and secretary trading programs called dark pools. So reports Bloomberg.
Read more...Regulators to Scrutinize ‘Fee Only’ Advisors
- Sunday, 01 June 2014
- Regulatory & Compliance
- Written by PFA News
The Certified Financial Planners Board of Standards will be conducting a random sampling of financial advisors who market themselves as “fee only”—that is, impartial in their recommendations—to make sure they’re not selling products or services on commission. So reports Reuters.
Read more...Beware: Regulators Targeting Firms Lacking Sufficient Client Cybersecurity
- Sunday, 01 June 2014
- Regulatory & Compliance
- Written by PFA News
Regulators are making clients’ cybersecurity a top priority. So reports Investment Advisor.
Read more...Regulators May Be Allowed to Increase Surveillance By Summer
- Friday, 23 May 2014
- Regulatory & Compliance
- Written by PFA News
A rule that would increase the amount of trading data that brokerages release to the Financial Industry Regulatory Authority to allow for greater surveillance may be ready this summer. So reports Reuters.
Read more...SEC to Keep at Fiduciary Rule
- Friday, 23 May 2014
- Regulatory & Compliance
- Written by PFA News
Steve Luparello, director of the Securities and Exchange Commission’s Division of Trading and Markets, says the regulator will continue working on a proposal to impose a fiduciary standard on brokers until the matter is resolved. So reports ThinkAdvisor.
Read more...DoL Slows Pace of Developing Fiduciary Definition
- Friday, 16 May 2014
- Regulatory & Compliance
- Written by PFA News
The Department of Labor’s rule-making process that involves defining "fiduciary" has been delayed to allow more input from the public on the matter. So reports Bloomberg.
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