Legislation And Regulation

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  1. Articles

    Money managers to redraw battle plans after SEC nixes batch of nontransparent ETFs

    In a preliminary decision, the Securities and Exchange Commission has rejected applications for nontransparent ETFs from BlackRock, Inc. and Precidian Investments, determining that the proposals are not in the public interest.

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    Financial planning clients not getting what they pay for: study

    Financial planning clients not getting what they pay for because of a lack of government-enforced professional standards, according to the study sponsor, the Financial Planning Coalition

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    GOP takeover of Senate could make fate of investment adviser issues unclear

    A Republican majority would likely boost the passage of GOP-favored bills, but not the consideration of industry concerns.

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    Accredited-investor definition revamp backed by SEC panel

    Agency's Investor Advisory Committee thinks current standard of income, wealth oversimplifies who should qualify to buy private offerings.

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    BrokerCheck needs a marketing effort

    It's time for Finra to get serious about making sure investors know BrokerCheck exists.

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    SEC commissioner Piwowar leans against fiduciary-duty rule

    SEC commissioner Piwowar leans against fiduciary-duty rule Republican indicates a preference for enhanced disclosure Sep 30, 2014 @ 4:17 pm + Zoom Michael Piwowar, member of the SEC Securities and Exchange Commission member Michael Piwowar indicated Tuesday he is leaning against a rule that would

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    Brokers charged by state securities officials see prison time rise

    Enforcement actions by NASAA members resulted in one-third-longer sentences last year over 2012.

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    FSI offers long-term disability, life insurance to members

    Program guarantees members coverage at a group rate FSI has secured as the plan sponsor.

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    An 'adviser' in name only

    Calling a broker an adviser is dangerous, and it's time to embrace the black-and-white distinction.

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    The secret Goldman Sachs tapes

    How one brave federal regulator got the goods on the New York Fed's hands-off policy toward Goldman.

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    LPL to weigh in on tax reform with new federal policy push

    Nicole Petrosino, LPL's new head of federal government relations, outlines the firm's agenda, including getting advisers in front of their own elected officials

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    SEC advisory panel recommends new approach to accredited investor label

    Group suggests gauging sophistication of individuals based on knowledge, or limiting the portion of a portfolio that can be invested in private placements.

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    Finra 'unfairly criticized' on REIT pricing rule change

    Mark Goldberg of IPA praises regulator's action to extend clarity to investor statements.

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    Fed decides to hold tight on rates, and advisers react

    The Federal Reserve decides to hold tight on interest rates, and advisers are reacting accordingly.

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    LPL wants bigger voice in Washington

    The independent broker-dealer is set to open a public affairs office in the nation's capital in response to increased federal regulation.