Regulation

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Watch breaking news videos and read news updates about Regulation on investmentnews.com

  1. Articles

    Even without funding, SEC must do its job Indulgence is the enemy of industry for heirs

    After reading the Lack of adviser oversight is ticking bomb editorial (InvestmentNews, June 30), I commend IN for the following:

  2. Articles

    Obama pushes tighter border rules for U.S. companies trying to exit for tax purposes

    On today's Breakfast with Benjamin menu, Pres. Obama pushes for tighter border rules for U.S. companies trying to exit for tax purposes, asset managers unprepared for a bear market, and more.

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    Carl Icahn advises caution in the equity markets

    Breakfast with Benjamin: Carl Icahn warns that stocks are on risky ground. Plus: Interest rates and volatility are raising red flags, one man's take on the Fed-fueled bubble, the SEC is watching for political-donation conflicts, gold gets no respect, and institutional money is chasing solar energy

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    The financial fallout from Germany's World Cup rout of Brazil

    Breakfast with Benjamin: Germany's World Cup rout goes beyond soccer. Plus: The SEC takes another stab at curbing high-speed trading, investment lessons from a crumbling cupcake chain, and dividend stocks are looking better than ever.

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    Iraq's instability spreads to the world's weaker currencies

    Breakfast with Benjamin: Currencies feeling pressure from Iraq. Plus: Gold bugs still not convinced of the next big move, select energy stocks correlate with Iraq unrest, Americans are unable to save money in this economy, and the SEC zeros in on liquid alternative funds.

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    Advisers embrace liquid alts to navigate Fed policy

    Breakfast with Benjamin: Advisers go liquid to navigate Yellen Fed policy. Plus: Global stocks are loving the Fed's latest non-move, energy stocks ride high on the unrest in Iraq, an IRS excuse that the IRS would never accept from you, and political correctness has the Washington Redskins ...

  5. Articles

    Small firms hustle for Finra board slot

    Potential candidates for open seats battle voter apathy ahead of next month's annual meeting.

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    New inflation data could drive the Fed into hawkish mode

    On the Breakfast with Benjamin menu: Inflation data could turn doves into hawks. Plus: Oil could get a lot pricier in a hurry, insider trading runs rampant and SIFMA cuts its economic outlook.

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    World stock markets get nervous as Iraq melts down

    Plus: Deutsche Bank shows its hand with World Cup bets, Wall Street fines are a cash cow for the Treasury Dept., navigating Social Security before you retire, and eating at home gets pricey in a hurry.

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    Investors rush to safety in gold as Iraq falls

    What's for Breakfast with Benjamin? The Iraq crisis hits another asset but in a good way. Plus: Oil spikes to nine-month high, a looming student loan crisis, how Goldman cashed out early on Alibaba, and a tribute to dads.

  9. Articles

    Oil spikes to a three-month high as Iraq's stability crumbles

    Breakfast with Benjamin:Oil spikes as Iraq's stability crumbles. Plus: Hedge funds bristle at Obama's latest executive order, the significance of the Dow at 17,000, how active managers are helping index investors, and quantitative analysis is being applied to golf scores.

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    World stocks riding high on fresh market data

    Breakfast with Benjamin: Stocks around the world are rallying. Plus: New rules and regs are not helping investors, the psychological impact of low volatility, investing in consumer spending, and toast tries to become gourmet dish. Toast.

  11. Articles

    High-speed trading rules coming from SEC, White says

    Proprietary traders who use computers to buy and sell stocks in milliseconds would have to register with the agency under chair's recommendations.

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    Brokers dodge customer complaints with bankruptcy

    A former John Thomas Financial broker's bankruptcy filing highlights an enforcement challenge: dodging customer complaints. Plus: More advisers succumb to personal bankruptcies

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    DOL proposal of fiduciary-duty rule delayed again

    Advocates for raising investment-advice standards are taking in stride the latest delay in a Department of Labor fiduciary-duty rule.In an update to its regulatory calendar on Tuesday, the agency moved a re-proposal of the regulation from August to January 2015. First introduced in 2010 but

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Jul 22 01:47PM
Fidelity adds $37.2B in defined contribution assets but pace slows http://t.co/4p7QCNTDqH
Jul 22 01:45PM
Systematize these processes and watch your firm grow http://t.co/eGh2YZJ4vi @newsfromIN

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