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 Charges Exec Who Took Over 'Hamilton' Ticket Ponzi Scheme: Enforcement
By Emily ZulzJoseph Meli's cousin rebranded the operation after Meli was charged with running the scheme, the SEC says.
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.
April 29, 2019
2019 IA25 Political WinnersHere are this year's top vote getters in the field of politics, regulation and compliance.
April 29, 2019
2019 IA25 Independent Broker-Dealer WinnersHere are this year's top vote getters in the independent broker-dealer field.
April 26, 2019
SEC's Reg BI Doesn't 'Raise the Bar' Over FINRA's Suitability Rule: Consumer GroupsConsumer advocacy groups tell SEC's Jay Clayton what's lacking with the agency's rule.