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.
Former SEC Commissioner Stein Joins Investors Exchange Board
By Melanie WaddellStein said she looks forward to helping IEX, the trading platform operator featured in Michael Lewis's book "Flash Boys," continue to improve market transparency for both public companies and investors."
May 03, 2019
SEC Charges Exec Who Took Over 'Hamilton' Ticket Ponzi Scheme: EnforcementJoseph Meli's cousin rebranded the operation after Meli was charged with running the scheme, the SEC says.
May 03, 2019
Judge Greenlights NY Regulators' Lawsuit Against Federal Agency Over Fintech ChartersIt's the second time DFS has sued the OCC over its decision to allow fintech companies that do not receive deposits to seek special-purpose national bank charters.
May 02, 2019
FINRA Plans Restrictions on BDs With History of Hiring Bad BrokersThe proposed rule, out for comment until July 1, includes requiring a BD to have a fund to cover unpaid arbitration awards.
May 01, 2019
DOL to Issue New Rules on Fiduciary Duties: AcostaLabor will issue rules based on its collaboration with the SEC, Acosta told lawmakers Wednesday.
May 01, 2019
Robare Group Decision Highlights Importance of Form ADV DisclosuresAn appeals court agreed Tuesday with the SEC's view that Robare fell short on conflicts of interest disclosure.
April 30, 2019
Roundup: SEC Advice Package, New SEC Nominee, IRS Makeover, and Big Bank CEOs on the HillSEC chief Clayton promises "robust" economic analysis of Reg BI, while Rep. Waters probes bank CEOs on their downsizing efforts.
April 29, 2019
SEC Senior Task Force Would Consult With Insurance RegulatorsH.R. 1876 would also have the SEC arm talk to state securities and law enforcement officials.