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.
Trump DOL Fiduciary Rule to Take Effect Tuesday
By Melanie WaddellLater this year, the department will likely "begin work on a more robust fiduciary definition," said ERISA attorney Fred Reish.
February 05, 2021
IRS Office Tasked With Transforming the Agency Names New ChiefHeather Maloy will lead the Taxpayer First Act office, which is carrying out that law's mandate to revamp the IRS.
February 04, 2021
GPB Capital CEO, 2 Others Arrested in Scheme That Bilked 17,000 InvestorsThe SEC and seven state securities agencies also filed regulatory actions tied to the $1.7 billion scheme.
February 04, 2021
Delaware Adopts Annuity Sales Standards RegulationThe president's home state is basing its rule on the NAIC's model update.
February 03, 2021
FINRA Targets 'Game-Like' Digital PlatformsAsked if it was concerned about potential FINRA sanctions, MassMutual says it's reviewing "Roaring Kitty" GameStop trading activity.
February 02, 2021
SEC Creates New Senior Role Focused on Climate Change, ESGSatyam Khanna, a former counsel to ex-Commissioner Robert Jackson, will be the agency's first senior policy advisor on climate and ESG.
February 02, 2021
IRS Approves Another Annuity Fee Payment ArrangementThe letter covers a product family that includes a RILA contract.
February 01, 2021
States Move to Probe GameStop Trading, Brokerage IssuesTexas Attorney General Ken Paxton issues civil investigative demands to Robinhood, Interactive Brokers, TD Ameritrade, E-Trade and other firms.