Federal Regulation
Get the latest news and insights on regulatory developments affecting financial advisors and the stock market and trading, including news about the SEC, DOL, IRS and the Financial Industry Regulatory Authority.
Supreme Court Ruling Set to Weaken SEC, DOL Authority
By Melanie WaddellAttorneys and lawmakers weighed in Friday on the court's decision to overturn the Chevron doctrine.
June 28, 2024
Ex-New York Life Rep Falsified Applications: FINRAShe paid premiums for customers and collected commissions, FINRA says.
June 28, 2024
Supreme Court Overturns Chevron Rule in Blow to Agency PowerThe ruling raises new questions about agencies' power to regulate emerging fields like crypto and AI.
June 27, 2024
Supreme Court Curbs SEC's In-House Judges in Fraud CasesThe 6-3 decision could reduce the agency's leverage to extract high-dollar settlements.
June 26, 2024
Expect SEC Reg BI Actions to Heat Up: Law FirmDual registrants "may be particularly compelling targets" for the regulator, Gibson Dunn attorneys say.
June 26, 2024
House Panel Advances Bill to Torpedo DOL Fiduciary RuleThe bill would prevent Labor from using any funds to administer, implement or enforce the rule.
June 26, 2024
LPL Rep Suspended for Trading in Deceased Client's AccountThe advisor falsely stated that he spoke with the client about the trade before their death, FINRA said.
June 25, 2024
In Wealthy Families, Inheritance Distress Goes Beyond MoneyA common conflict: Who gets to keep sentimental objects and collectibles? What if no one wants them?