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.
Is the SEC's War on Crypto 'Regulation by Enforcement'?
By Ric EdelmanI asked the SEC's crypto enforcement chief to answer that question, and more.
June 22, 2023
DOL Rollover Review Deadline Looms; Here's Where Firms StandERISA attorney Fred Reish talks about the upcoming deadline and what a new fiduciary rule may say.
June 22, 2023
Spending Bill Kills SEC's New Custody Rule, Reg Best ExecutionThe bill bars the SEC from using funds to finalize or implement these two rules and others.
June 22, 2023
Federal Risk Tracker Spooks Life Industry AnalystPeter Troisi sees little awareness of the Financial Stability Oversight Council's new ambitions.
June 22, 2023
JPMorgan to Pay $4M Over 47 Million Deleted RecordsThe SEC alleges that JPMorgan Securities permanently deleted the electronic records, including emails and instant messages.
June 22, 2023
House Passes Revamped Employer Cash-for-Coverage BillThe original H.R. 3799 language introduced by Kevin Hern is now part of a bigger package.
June 22, 2023
SEC Committee Floats User Fees, Third-Party Exams for RIAsSEC Commissioner Hester Peirce was quick to pose questions on how such plans would work.
June 20, 2023
Emojis Could Prompt a Customer Complaint, FINRA Exec WarnsWhile FINRA isn't planning emoji-related enforcement, its exam chief urges BDs to consider "novel issues" in texting.