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.
Jeremy Siegel: SVB Collapse Will 'Knock Some Sense' Into Fed Chair
By Dinah Wisenberg Brin"I don't think this market's going down much further," the economist said.
March 16, 2023
'Is My Money Safe?' What 7 Advisors Are Telling Clients — Advisors' AdviceEven though bank deposits and BD assets are well-protected from institutional failure, clients may still have concerns.
March 16, 2023
Here's What BDs Should Do After SVB, Signature FailuresThe regulator has issued a notice to broker-dealers that have deposits at the failed banks.
March 15, 2023
DOJ Arrests Chinese Billionaire and Steve Bannon Associate in $1B Fraud SchemeExiled businessman Guo Wengui, an associate of the former White House advisor, was "a serial fraudster," according to the SEC.
March 15, 2023
SEC Proposes New Cyber Rules for RIAs, BDsFirms would be required to notify customers of breaches that might put their personal financial data at risk.
March 14, 2023
Biden Advances Su's Nomination as Labor SecretaryJulie Su could replace Marty Walsh, who is leaving the post this month to become the head of the National Hockey League's players' union.
March 14, 2023
SEC Getting More Aggressive With Advisor Exams, Ex-Directors Say"We've seen a significant expansion in scope for exams," former SEC exam director Carlo di Florio says.
March 14, 2023
Siegel, Sonnenfeld: Fed 'Shrapnel' Killed Silicon Valley BankTightening monetary policy further now "is a surefire recipe for disaster," the Wharton and Yale professors write.