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Regulation & Compliance

Regulators: We Don't Have All The Answers On Volcker

January 23, 2012 - The regulators charged with implementing the Volcker Rule have posed 1,300 questions to the public, but on Wednesday, at a House subcommittee hearing, they fielded one query they seemingly hadn't considered.

Advisors Do The SEC-State Registration Switch

January 16, 2012 - Confusion is likely to ensure in the registration of mid-sized investment advisors with states instead of the SEC.

Full Disclosure

January 16, 2012 - The SEC is now concerned with disclosure of banks' EU exposure - and banks are pushing back.

Volcker Political Football: It's Just Starting

January 16, 2012 - Debate on Capitol Hill over the Volcker Rule is just starting to heat up.

CSI: Outsized Returns

January 2, 2012 - The SEC's new focus on returns will help it, in the words of Deep Throat ... "Follow the Money."

Volcker Rule Seen as Impeding Liquidity

December 12, 2011 - Top asset management executives fear the Volcker Rule could dry up market liquidity.

What MF Global Should Teach Fund Managers

December 12, 2011 - Your collateral is only as safe as your futures trader's risk management system.

'Expectations Wallop' Needed to Boost Growth

December 12, 2011 - Christina Romer, a former member of the Council of Economic Advisers, makes the case for the Federal Reserve to set the bar higher - in order to lift the economic out of the quagmire.

Good Intentions, Bad Results in Europe?

December 5, 2011 - Good MIFID, Bad MIFID

401(k) Fee DisclosureTo Change DC Game

December 5, 2011 - A Q&A with Verisight CEO Greg Tschider and Senior Vice President Robert Stebbins on the ramifications of the new 401(k) fee disclosure.

Money Management Executive's 2011 Regulatory Outlook Survey

November 28, 2011 - Barriers to Growth Executives' Biggest Concern

A Call to Congress

November 28, 2011 - Industry leaders appeal to Congress to take decisive action on the deficit.

November 21, 2011 -

Floating NAV Floats No Boats

November 14, 2011 - SEC Now Looking at Capital Buffers, Floating NAV for Money Funds

Creating (or Redeeming) ETFs on the Fly

November 7, 2011 - Asset Managers Deny ETFs Are 'Weapons of Mass Destruction'