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.
Treasuries Are a No-Go for European Insurers Battling Regulation
By John AingerAXA prefers Swiss and Japanese bonds.
May 22, 2018
5th Circuit Again Denies States' Intervention in DOL Fiduciary Ruling"The panel has considered the motion for reconsideration. It is ordered that the motion is denied."
May 21, 2018
FINRA Would Monitor SEC Broker Conduct Rule Compliance: CookAt FINRA conference, CEO Cook discussed the SEC rule and future exam changes.
May 18, 2018
SEC, FINRA Fine Brokerages With AML Violations: EnforcementIn another enforcement action, a broker representative and investment advisor were indicted for fraud.
May 18, 2018
Does Any Token Exist That Is Not a Security?The SEC hasn't yet declared that a specific token is not a security. The courts may beat it to the punch.
May 17, 2018
FINRA Floats Third-Party Insurance Coverage ProposalFINRA Board also filed with SEC proposed amendments to its TRACE rules to expand the definition of Agency Debt Security to address a new issuance structure by government-sponsored enterprises
May 17, 2018
States Ask 5th Circuit to Reconsider DOL Fiduciary InterventionAttorneys general from three states cite lost tax revenue due to diminished retirement income as one reason for reconsideration.
May 16, 2018
Congressman to SEC on ICO Market: 'Shut It All Down'In a hearing, lawmakers hammered the SEC on ICO oversight and agency officials blasted a recent Supreme Court decision on disgorgement.