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.
A Reality Check on Biden's Tax, Infrastructure Plans From Schwab's Man in Washington
By Bernice NapachSchwab's legislative and regulatory affairs representative, Mike Townsend, discusses how much of Biden's agenda he thinks is achievable.
June 07, 2021
SEC Plans Hiring Push for Exams, Enforcement in 2022The SEC hopes to hire 65 people to cope with challenges like implementing Reg BI and examining the growing number of RIAs.
June 04, 2021
Trendspotter: Markets Are Evolving Faster Than the SEC"The SEC has not grown to meet the needs of the 2020s," like surges in SPACs, crypto and private equity, Chair Gary Gensler tells Congress.
June 04, 2021
Why SEC Actions Against CCOs Could Boost Bad BehaviorAnxiety around personal liability is leading CCOs to pull back from their firms or find other jobs, according to the New York Bar Association.
June 03, 2021
SEC Won't Enforce Trump-Era Rule on Proxy Advisory FirmsSEC Chairman Gary Gensler directed staff to review the rule and to consider whether further action is needed.
June 03, 2021
Dually Registered Firm Must Pay SEC $1.2M Over 12b-1 FeesCentaurus Financial breached its duty to seek best execution, the SEC said.
June 03, 2021
Ex-Cetera Rep Gets 5-Year Prison Sentence for Defrauding ClientsThe former broker had pleaded guilty to wire and bank fraud on Jan. 14.