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.
Ex-SEC Commissioner Gallagher Returns to Wilmer
By Ryan LovelaceDaniel Gallagher, currently chief legal officer at drug maker Mylan, served on SEC for four years during the Obama administration.
March 28, 2019
Judge Blocks Trump Administration's Association Health Plan RegulationsThe Bush appointee objected to the idea of classifying self-employed people as employers.
March 28, 2019
House Panel Introduces Bipartisan Bill to Redesign IRSAmong the bill's 45 changes: creating an independent appeals process.
March 28, 2019
FINRA Files to Allow TRACE to Be Corporate Bond HubIf the SEC approves, TRACE will become a centralized source of comprehensive and timely information about new issues.
March 27, 2019
Trump's Fed Pick Owes IRS $75,000The federal government won a $75,328.80 judgment against Moore for unpaid taxes from the 2014 tax year.
March 27, 2019
Supreme Court Buttresses SEC's Power, Rules Against BankerFrancis V. Lorenzo, who worked at Charles Vista LLC, could be held liable for taking part in a scheme to defraud investors even if he didn't write two deceptive emails at the center of the case.
March 26, 2019
Roundup: SEC 12b-1 Settlements, Wells in Hot Seat, and Treasury Regs HousecleaningThe SEC's share class initiative is showing results, while Rep. Waters says Wells Fargo is 'too big to manage' and Treasury axes tax regs.
March 26, 2019
Reg BI Readiness Questioned on All Fronts: SEC Commissioners, Trade Groups, LegislatorsAs new BD regulations get aired out, two points emerge: Reg BI is "fixable" and states need to see how it works before making own laws.