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.
Supreme Court Says SEC In-House Judges Are More Than 'Mere Employees'
By Tony MauroBut the court does not address DOJ's request about the power of the president to fire officers of the United States.
June 19, 2018
Trump's Association Health Plans Will Be Like Big Employer Plans: DOLMHPAEA mental health parity rules will apply. ACA benefits package rules won't.
June 18, 2018
SEC Chairman Is 'Sick' of How Much Retail Fraud There IsChairman Jay Clayton says that brokers should create a culture that doesn't accept lying — even when the law allows it.
June 18, 2018
Why to Keep Your Inflation Anxiety in CheckYes, prices are rising faster, but all signs suggest it won't amount to much.
June 18, 2018
FINRA Hearing Panel Bars Rep, Firm for Violating SuspensionWhile on three-month suspension, Miami broker "never stopped his association" with the broker-dealer and with continued soliciting customers, FINRA hearing panel found.
June 15, 2018
SEC Halts 'Revolutionary' Shopping App Scheme: EnforcementIn other enforcement actions, the CFTC halts a $5.5 million precious metals fraud.
June 15, 2018
US Lets Supreme Court Deadline Lapse to Challenge 5th Circuit Fiduciary RulingDOJ lets last deadline to save the fiduciary rule pass; industry officials debate likelihood of SEC "uniform fiduciary" rule.
June 14, 2018
Ether Surges After Top SEC Official Says It's Not a SecurityStatement eases concerns that regulators would crack down; digital currency rises as much as 10 percent on announcement.