Regulation

Seven tips come in daily under the program that started in August. Thomas Sporkin, director of market surveillance at the SEC, says two to three each day are high quality.

Asset management companies can anticipate regulatory focus to intensify as implementation of the Dodd-Frank Wall Street Reform Act progresses - and not just from the Securities and Exchange Commission.

Talk coffee, not college savings plans. That avoids potential compliance issues. Besides, visitors to social media sites are coming to learn about who you are, not what you sell.

Advisors should encourage their clients to take advantage of current gifting opportunities, now that individuals can give others cash gifts up to $13,000 tax-free.

Pending legislative decisions around the fiduciary requirement for all advisors is not a threatening issue, Raymond James Financial Services Chairman Dick Averitt told a packed general session at its National Conference for Professional Development on Monday.

Morningstar, Inc. recently filed a comment letter with the Securities and Exchange Commission urging the regulator to require target-date series to provide more details on how the investments are managed and structured.

The head of the Financial Industry Regulatory Authority said he’d like to see regular reviews of broker operations, to find and address potential conflicts of interest.

The chairman of the Commodity Futures Trading Commission says that excluding swaps between foreign branches of U.S. companies and offshore organizations is not an option. Now seeks comment how to apply Dodd-Frank swaps reforms abroad.

WASHINGTON, D.C. - Mary L. Schapiro did not 'break the buck' at the annual membership meeting of the Investment Company Institute.

The big question following JPMorgan Chase & Co.'s now-notorious derivative trade is whether it would have been permitted under the so-called 'Volcker Rule.' But the answer is clear cut to an advocacy group that has led calls for regulatory restrictions after the 2008 crisis.