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.
SEC Shares Road Map on Cryptocurrency ETFs
By Jeanne Solomon & SoYoung WangThe agency lays out its thinking in a No Action Letter Refusal of Assurance.
February 23, 2018
Advisor Share-Class Infractions a ‘Widespread Problem,’ SEC SaysThe agency's investment management division also includes a fiduciary rule among its near-term goals.
February 23, 2018
VIX Fund Blowups Spur Regulators to Hunt for Potential MisconductThe SEC and CFTC are reviewing trading since Feb. 5, when volatility started to spike and short VIX funds plummeted.
February 22, 2018
SEC Charges Former Bitcoin Exchange, Operator With Fraud: EnforcementThe SEC also charged an investment management firm and its senior officers with "cherry-picking" trades.
February 22, 2018
SEC Extends Liquidity Rule Deadline for Open-End FundsFunds now have six more months to implement the final rules classification requirement.
February 21, 2018
Former Morgan Stanley Broker Says Firm Destroyed EvidenceTodd Walker is challenging his termination, saying a FINRA arb panel failed to consider that Morgan Stanley shredded boxes of documents, his lawyer tells ThinkAdvisor.
February 20, 2018
JPMorgan Must Face Gender Pay Discrimination Lawsuit, DOL Panel SaysThe Labor Department's suit alleges JPM paid certain female employees less than their male counterparts.
February 20, 2018
7 Facts About the New Short-Term Health Draft RegulationsOfficials predict the effects of the proposal on individual major medical enrollment would be modest.