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.
SEC Plans Cyber Rule for BDs
By Melanie WaddellThe proposal will be similar to one issued in February for RIAs, Chairman Gary Gensler says.
May 12, 2022
S&P Rating Method Update Could Ding Annuities: Hearing WitnessAn ACLI representative said the current proposal resembles Europe's Solvency II approach.
May 12, 2022
Treasury Secretary Worries About Leverage at Life InsurersJanet Yellen says FSOC members are looking at their options.
May 12, 2022
House Passes Bill to Fund State Efforts to Protect Older InvestorsHouse also passed The Small Business Mergers, Acquisitions, Sales, and Brokerage Act.
May 11, 2022
Debate: Should Biden Cancel Millions of Americans' Student Debt?Two professors discuss Republicans' renewed attacks on the administration's plan to order student loan forgiveness.
May 11, 2022
China's Digital Currency Lead Threatens Global DemocracyThe acceptance and usage of digital money will dramatically change how the world's financial system operates.
May 11, 2022
SEC's Gensler Says Crypto Exchanges Trading Against ClientsGensler's concerned that crypto exchanges aren't putting up proper walls between different parts of their businesses.
May 10, 2022
5 Ways FINRA Will Spend Its Money This YearThe regulator projects a 5% decline in revenue this year on declining corporate filings and trading volume.