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.
SEC OKs a Nontransparent Active ETF Strategy, but Will Investors Care?
By Bernice NapachThe approval could pave the way for an influx of such ETFs, but industry analysts aren't convinced about investor demand.
April 08, 2019
SEC Chief: Economic Analysis of SEC's Reg BI Will Be 'Robust'The final Reg BI package is "on our agenda to get done before September," Clayton said at SEC Speaks.
April 05, 2019
SEC Shuts Down Fake Advisor Who Targeted California Jews: EnforcementIn another action, the SEC charged a man with defrauding investors in a $3 million Christian concert scheme.
April 04, 2019
Trump Said to Choose Herman Cain for Federal Reserve BoardCain, a former pizza company executive, would join Stephen Moore, a conservative economist, as Trump's second pick to serve on the Fed Board.
April 03, 2019
SEC Releases Digital Assets FrameworkThe SEC's FinHub sets out the staff's views on determining whether a digital asset is a security.
April 03, 2019
Trump Nominates New SEC CommissionerVeteran securities lawyer Allison Herren Lee would replace former SEC Commissioner Kara Stein, a Democrat.
April 02, 2019
North Carolina GOP Chairman Faces Charges Related to Insurance RegulationThe charges center around contributions for an insurance commissioner campaign.
April 01, 2019
SEC Delays Decision on 2 Bitcoin ETF FilingsThey are the Bitwise and VanEck SolidX Bitcoin ETFs.