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.
Biden Administration Moves to Ban Fee-for-Service Indemnity Health
By Allison BellFederal agencies have also proposed limiting the duration of short-term health insurance to four months.
July 07, 2023
Barred Broker Accused of Bilking Gold Star Families as Army CounselorThe ex-broker is accused of defrauding 24 families; also on Friday, FINRA expelled his former BD.
July 06, 2023
SEC to Release New Rules for $5.5T Money-Market IndustryThe regulator is set to hold a meeting July 12 to finalize the changes, which aim to prevent outflows like those of March 2020.
July 05, 2023
Lazard Fires Head of Financial Advisory Unit for Inappropriate Behavior at PartyLazard's incoming CEO Peter Orszag told staff about the development in an internal memo Sunday.
July 03, 2023
FINRA Posts $218M Loss for 2022The loss was driven by investment performance, FINRA execs say.
July 03, 2023
Barred Broker Gets 8 Years in Prison for $1.9M Ponzi SchemeThe judge called Anthony Liddle's crimes "monstrous."
June 30, 2023
SEC Pushes Back Against Fidelity, BlackRock Spot Bitcoin ETF FilingsThe token on Friday traded around $30,300. That's still less than half the record of almost $69,000 reached in November 2021.
June 30, 2023
Sammons Executive Joins IRI Executive CommitteeThe role will make Bill Lowe a more prominent federal retirement policy player.