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.
Treasury Official Calls for a New Regulatory Approach for Fintech
By Bernice NapachCraig Phillips told a SIFMA conference that this new approach would permit "experimentation for services and processes."
June 21, 2018
Indexed Annuities Star in 5th Circuit DOL Fiduciary Rule OpinionThe ruling has (probably) killed the rule dead.
June 21, 2018
Wait for ETF Rule Is Over as SEC Slates Discussion for June 28The rule would let asset managers sell certain ETFs without first getting SEC approval under the Investment Company Act of 1940.
June 21, 2018
5th Circuit Issues Order to Kill DOL Fiduciary RuleU.S. Appeals Court for the 5th Circuit cited groups' objections on "multiple grounds" to Labor's fiduciary rule.
June 21, 2018
Winning the Talent Wars Key Among SEC's GoalsThe SEC is seeking to shore up its performance with new hires.
June 21, 2018
Supreme Court Says SEC In-House Judges Are More Than 'Mere Employees'But the court does not address DOJ's request about the power of the president to fire officers of the United States.
June 20, 2018
Ponzi Schemers Took $100M, Threw Party in Vegas: SECThe scheme involved buying or taking over books of business of retiring investment professionals from around the country.
June 19, 2018
Merrill Pays $42M for Misleading Broker ClientsFrom 2008 to 2013, the Bank of America unit hid that the fact that client requests to buy and sell stocks were being handled by proprietary trading firms and other outside entities.