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.
5th Circuit Again Denies States' Intervention in DOL Fiduciary Ruling
By Melanie Waddell"The panel has considered the motion for reconsideration. It is ordered that the motion is denied."
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.
May 15, 2018
Fed Nominees Clarida and Bowman Testify in Confirmation HearingsFormer Fed policy advisor Vince Reinhart said both "showed themselves to be team players."
May 15, 2018
Midsize Employers Still Face ACA Hassles: Red Tape WranglerThe IRS has been telling some employers to pay millions of dollars in fines.
May 11, 2018
Galvin Fighting for Fiduciary Duty That 'Only He Believes Exists': Scottrade AttorneysGalvin's case is "part of his campaign to enforce his own, personal interpretation of this now-abolished federal rule," they said.