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.
Judge Blocks Trump Administration's Association Health Plan Regulations
By Dan M. ClarkThe Bush appointee objected to the idea of classifying self-employed people as employers.
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.
March 25, 2019
FINRA Developing 'Credit for Cooperation' Guidance; SEC Aims to 'Bring Cases Faster'At what point do broker-dealers who cooperate with FINRA deserve a reduced sanction? The regulator plans to clarify.
March 25, 2019
Business Economists Cut US Growth Forecast"NABE Outlook Survey panelists believe the U.S. economy has reached an inflection point," the group's president says.
March 22, 2019
95% of Spot Bitcoin Trading Volume Is Fake: ReportBitwise Asset Management, which has filed for a Bitcoin ETF, analyzed data from 81 crypto exchanges.