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.
Reddit GameStop Incident Could Spur Move to T+1
By Melanie WaddellRobinhood's CEO is pushing for a shorter trade settlement cycle, but it's not a quick change for the industry to make.
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.
February 01, 2021
Lawmakers to Hold Hearings on GameStop TradingSen. Warren wants SEC's Lee to answer questions by Friday; the GameStop incident could speed Gensler's confirmation as SEC chair.
January 29, 2021
'Crowdsourced Lulz' Are Probably Not Securities FraudThe SEC will have a tough row to hoe in any action on GameStop trading unless it can find false statements made with fraudulent intent.