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.
Crypto Exchange Backed by Schwab, Fidelity Goes Live
By Yueqi Yang & Katherine DohertyEDX Markets, which does not custody digital assets, offers institutional trading in Bitcoin, Ethereum, Litecoin and Bitcoin Cash.
June 16, 2023
PIMCO Hit With $9M SEC FineIn one of two enforcement actions, PIMCO failed to waive $27 million of advisory fees as it had agreed.
June 15, 2023
New DOL Fiduciary Rule Coming in AugustLabor's new reg flex agenda says the conflict of interest rule would amend the definition of "fiduciary."
June 15, 2023
New Bill Would Expand Pool of Individual Health Coverage ShoppersThe House is preparing to vote on a bill that would expand the use of employer cash to pay for workers' individual health coverage.
June 15, 2023
Debate: Are 401(k) Enrollment Changes in Secure 2.0 Fair?Our tax experts discuss whether mandatory auto-enrollment is too big a burden on small businesses.
June 14, 2023
5 Big Rules the SEC Plans to Finalize This YearThese rules are on the list despite industry pushback, says Amy Lynch of FrontLine Compliance.
June 14, 2023
Battle With Law Firm Over China Hack Comes to a Head: SEC RoundupThe SEC wants information on Covington & Burling's advisor and BD clients hit in a 2020 cyberattack.
June 14, 2023
House GOP Seeks to Remove SEC Chair Gensler, Restructure CommissionThe proposed SEC Stabilization Act would add a sixth commissioner and ensure political party parity.