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.
Lazard Fires Head of Financial Advisory Unit for Inappropriate Behavior at Party
By Dinesh Nair & Eyk HenningLazard's incoming CEO Peter Orszag told staff about the development in an internal memo Sunday.
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.
June 29, 2023
SEC Has No Way to Track RIA Arbitration Stats, Unpaid AwardsA report commissioned by Congress reveals "an informational black hole" surrounding RIAs' use of arbitration, an attorney says.
June 29, 2023
Jessica Brooks to Lead Health Agent GroupNABIP's incoming CEO ran an employer benefits coalition in Pittsburgh.
June 29, 2023
Will Climate Change Send Life Insurers' Real Estate Assets Up in Smoke?Or soak them. A Treasury office wants life and annuity issuers to think about that.
June 28, 2023
Where a Medicare Advantage Broker Comp Proposal Falls ShortA field marketing office owner says agents deserve better.
June 28, 2023
SEC's Fund Liquidity Plan Hurts Retirement Savers, Lawmakers SayThe "hard close" for trades in the proposal "limits Americans' ability to trade in mutual funds," lawmakers say.