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.
Ride-Sharing No. 2 Lyft Starts IPO Race With Public Filing
By Eric Newcomer and Olivia ZaleskiFriday's filing gives Lyft a leg up in its race with Uber to go public this year; both ride-sharing companies filed their draft statements with the SEC in December.
March 01, 2019
About That Big Regulatory Rollback ...What the Trump administration has achieved so far is not so much deregulation as regulatory stasis. Which isn't all bad.
February 28, 2019
Top Democrat on Senate Panel Wants Hearing on SEC's Reg BIFormer SEC economists' letter stating Reg BI "had weak and incomplete economic analysis" should be "a red flag," said Sen. Sherrod Brown.
February 28, 2019
SEC Modifies Submission Times for Form N-PORT"We are very pleased that the SEC has taken this important step," said ICI President Stevens.
February 28, 2019
State Securities Regulators Clash With ACLI Over the Fiduciary Rule's Little BrotherACLI says it's pro-consumer. NASAA's president says ACLI's support for the Reg BI proposal is a bad sign.
February 28, 2019
FINRA to Issue FAQ on 529 Share Class Initiative, May Extend Compliance Dates"People have had a lot of questions about how to engage in the initiative," said FINRA enforcement chief Schroeder.
February 27, 2019
FINRA Seeks Feedback on Business Continuity RuleFINRA wants to know whether the costs of maintaining such a plan outweigh the benefits.
February 27, 2019
Put Variable Product Illustrations On IPads: Ben Baldwin to SECA longtime agent and planner has told the SEC that showing consumers 'mind-numbing rows of numbers' is useless.