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.
2018 IA 25 Politics, Regulation & Compliance Winners
By Melanie WaddellHere are 2018 IA 25 top vote getters in field of politics/regulators/compliance.
April 27, 2018
Clayton: SEC Broker Conduct Rule Embodies 'Core Fiduciary Principles''We've sought to harmonize the actual duties that are owed' by brokers and investment advisors, Clayton tells lawmakers.
April 26, 2018
DOL Involved in Wells Fargo Wealth Investigation: ReportWhile the bank disclosed the review of retirement-plan issues in a regulatory filing, it did not name the specific agencies involved.
April 26, 2018
IRS Postpones Life Settlement Tax Reporting RequirementThe IRS says it still has to write Section 6050Y rules, and give players time to comply with the rules.
April 26, 2018
SEC's Peirce: Are Equity Market Structure Rules Outdated?Commissioner Hester Peirce asks if the '75 Amendments continue to be warranted in the 'very different markets that have developed over the intervening 43 years.'
April 26, 2018
AARP, States File for Rehearing of DOL Fiduciary CaseThe retiree group said it intervened to protect retirement investors because the Labor Department most likely wouldn't.
April 25, 2018
SEC Standard of Conduct Proposal Faces 'Arduous Path': Fi360's AikinIndustry officials debated the merits of the SEC's new standard of conduct proposal at an Fi360 event.
April 25, 2018
After Court Ruling, DOL Stops Enforcing Fiduciary RuleBut SEC Chairman Jay Clayton says the agency he leads is moving forward on its fiduciary proposal despite the court vacating Labor's rule