Regulatory & Compliance (359)
FINRA, CFTC and SEC Issue Report on Disaster Planning, Sandy
- Friday, 06 September 2013
- Regulatory & Compliance
- Written by PFA News
Regulators have studied the impact of Superstorm Sandy on a handful of major financial firms and have issued a report on the matter. So reports lexology.com.
Read more...DOL’s IRA Regs May Influence SEC Fiduciary Rule from Brokers
- Friday, 16 August 2013
- Regulatory & Compliance
- Written by PLP News
During the next few weeks, the Department of Labor is expected to propose rules governing securities professionals’ conduct when advising clients on IRAs.
Read more...Senate Committee Backs Obama Proposal to Boost SEC’s FA Examiner Ranks
- Sunday, 04 August 2013
- Regulatory & Compliance
- Written by PFA News
A request by President Obama for additional funding needed to add 250 financial advisor examiners to the ranks of the Securities and Exchange Commission has been approved by the Senate Appropriations Committee’s Financial Services Subcommittee.
Read more...Potential 401(k) Fee Disclosure Regs Sent to OMB
- Sunday, 04 August 2013
- Regulatory & Compliance
- Written by PFA News
The Office of Management and Budget (OMB) is reviewing a rule proposal by the Department of Labor that could increase costs for 401(k) service providers by specifying fee disclosure requirement. So reports ThinkAdvisor.
Read more...Fiduciary Standard Mandate Would Help Brokers
- Friday, 19 July 2013
- Regulatory & Compliance
- Written by PFA News
Requiring registered reps to comply with fiduciary standards would be good for broker-dealers. So reports ThinkAdvisor.
Read more...‘Free IRA’ Claims Misleading: FINRA
- Friday, 19 July 2013
- Regulatory & Compliance
- Written by PFA News
The Financial Industry Regulatory Authority has warned its member firms that claiming IRA are free is misleading. So reports Investment News.
Read more...SEC to Work More Closely with Investment Management Industry
- Tuesday, 09 July 2013
- Regulatory & Compliance
- Written by PFA News
The Securities and Exchange Commission is seeking to be more in tune with the investment industry and is seeking ways that it can work to protect investors, says Norm Champ, director of the SEC’s Division of Investment Management.
Read more...Dodd-Frank Won’t Be Overturned: House Critic
- Saturday, 22 June 2013
- Regulatory & Compliance
- Written by IAW News
A staunch critic of the Dodd-Frank law, Rep. Scott Garrett (R-N.J.), says he doesn’t think legislators can overturn the controversial legislation and should instead take a piecemeal approach to diluting it.
Read more...FINRA to Advisors: Warn Clients of Bond Risks
- Sunday, 09 June 2013
- Regulatory & Compliance
- Written by IAW News
Richard Ketchum, chairman of the Financial Industry Regulatory Authority, recently urged brokers to warn their clients that bonds are subject to falling prices in a rising interest rate environment.
Read more...SEC Commissioner Backs Fiduciary Standard
- Thursday, 06 June 2013
- Regulatory & Compliance
- Written by IAW News
SEC Commissioner Elisse Walter says the fiduciary standard should apply to all investment professionals, reports OnWallStreet.com.
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