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.
Sheila Bair Warns About Low-Quality Corporate Debt
By Bernice NapachExcessive, low-quality debt could threaten the economy, the ex-FDIC chair warns.
January 09, 2019
Waters Says Shutdown Is 'Jeopardizing' Markets, InvestorsSEC's skeleton crew is hindering agency's ability to "hold bad actors accountable," Waters said on the House floor.
January 08, 2019
Is SEC's Reg BI Coming in Q1?Attorneys are reading the tea leaves on the likelihood that Reg BI, part of the agency's advice-standards package, will get finalized soon.
January 07, 2019
Rep. McHenry Probes Agencies' IGs for Cost Cutting MeasuresThe new ranking member on the House Financial Services Committee wants SEC, Treasury, CFPB to tell him by Jan. 24 how the agencies plan to reduce waste, fraud and abuse.
January 07, 2019
Ex-SEC IM Director: Help Your Clients Avoid a Personal Financial CrisisAdvisors should help clients "get in shape" and reduce debt, former SEC investment management Director Norm Champ tells ThinkAdvisor.
January 04, 2019
'Re-Regulation' Could Dampen Annuity Sales: Credit SuisseCredit Suisse analysts point to SEC, state fiduciary rules and an anticipated NAIC annuity sales suitability framework.
January 04, 2019
Former Wells Fargo Broker Indicted on 128 Felony Counts: Enforcement RoundupAlso, Lightyear Capital agreed to pay a $400,000 fine to the SEC for overcharging fund investors.
January 02, 2019
FINRA Seeks SEC Approval of Dispute Resolution RulesOne rule would prohibit compensated non-attorney representatives from practicing in the FINRA arbitration and mediation forum.