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.
Reg BI Is a 'Work in Progress': SEC Chief
By Melanie WaddellSEC Chairman Gensler addressed hot topics, like off-channel communications, at FINRA's annual conference Tuesday.
May 15, 2023
FINRA Expels Firm Over Reg BI Violations"The serious misconduct in this case exposed customers to significant risk of harm and necessitated expulsion," the regulator said.
May 12, 2023
Single-Stock ETFs Get Vote of Confidence in Huge 32-Fund FilingGraniteShares is looking to double the existing lineup of single-stock funds.
May 11, 2023
New DOL Fiduciary Rule Plan Coming Soon, Top Official SaysLisa Gomez, the official in charge of the fiduciary rulemaking, also noted that Secure 2.0 implementation was underway.
May 11, 2023
Anna Kooi Helps Life Insurers See (Potential) DeadbeatsKooi's work could show where losses are leaking into the investment portfolios.
May 11, 2023
HSBC, Scotia Capital Hit With SEC Text Message FinesBoth firms admitted their employees often communicated about securities business using platforms like WhatsApp.
May 10, 2023
Climate Impact Rule Likely on the Ropes: SEC RoundupThe SEC didn't adequately consider whether investors even care about climate disclosures, former commissioner Paul Atkins says.
May 09, 2023
SEC Custody Rule Plan Would Hurt Annuity Access: IRIThe trade group wants the SEC to add an exception to allow insurers to act in lieu of qualified custodians.