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 Chief: Economic Analysis of SEC's Reg BI Will Be 'Robust'
By Melanie WaddellThe final Reg BI package is "on our agenda to get done before September," Clayton said at SEC Speaks.
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.
March 29, 2019
Ex-SEC Commissioner Gallagher Returns to WilmerDaniel Gallagher, currently chief legal officer at drug maker Mylan, served on SEC for four years during the Obama administration.
March 28, 2019
Ex-UBS Broker Sentenced in Puerto Rico Bond Sales Fraud Scheme: EnforcementThe SEC also charged the COO of an investment advisor for fraudulently causing the firm to overbill clients.
March 28, 2019
SEC Charges Ex-College Controller With Municipal Securities Fraud"Financial difficulties are no excuse for engaging in accounting misconduct and concealing critical information from investors," said the SEC's LeeAnn Ghazil Gaunt.