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.
New Bill Would Rein In SEC Rulemaking
By Melanie WaddellRep. Wagner, R-Mo., says that the bill makes sure "the SEC doesn't arbitrarily implement unnecessary and complex rules."
December 16, 2022
Medicare Advantage Managers Propose 2024 Ban on Lead SalesCMS also wants to create new agent supervision and marketing material review requirements.
December 16, 2022
How Enforcement Will Play Out in 2023: SEC RoundupLook for "more unique and out-of-the box applications of the insider trading theory," says Tom Zaccaro.
December 16, 2022
11 Big Advisor Regs That Moved Forward in 2022The SEC, FINRA and DOL have proposed or finalized several rules this year.
December 15, 2022
FTX Collapse Could Wake Up Washington on Crypto Regs: SEC's Peirce"I'm hoping these events can be a catalyst for us to get to work," the commissioner tells Ric Edelman.
December 15, 2022
TIAA Trader Charged in $47M Insider SchemeLawrence Billimek worked for TIAA unit Nuveen, where he allegedly sent tips to former day trader Alan Williams; both were arrested Wednesday.
December 15, 2022
15 Key Life, Health and Annuity Regulatory Stories of 2022, So FarUp till now, 2022 has been more a year of fixes than of masterpieces.
December 15, 2022
Massachusetts Adopts Annuity Sales RegulationsSupporters of the Regulation Best Interest-based approach see 37 actual or pending approvals.