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.
Allianz Unit to Plead Guilty, Pay $5.8B Over Funds' Collapse
By Bob Van Voris and Stephan KahlThe total payout for the Structured Alpha Funds scandal includes a $1 billion fine to the SEC.
May 13, 2022
Anti-Money Laundering Rule for Advisors May Be Revived: SEC RoundupLaurel Rimon and Braddock Stevenson, formerly of the CFPB and FinCEN, discussed whether the AML plan will resurface.
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.