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.
Zenefits Settles With SEC Over Charges It Misled Investors
By Eric NewcomerThe company and its former CEO have not admitted any wrongdoing.
October 26, 2017
Former Apollo Partner Charged With Secretly Billing Clients for Vacations, Salon Visits: EnforcementThe SEC also obtained a judgment against a real estate developer who fled after being convicted of insider trading.
October 26, 2017
SEC Names Driscoll Head of Exam UnitPete Driscoll has been serving as acting director since Marc Wyatt left in January.
October 26, 2017
FINRA Regulatory Chief Axelrod to DepartAfter 28 years at FINRA and its predecessor, Susan Axelrod will step down.
October 26, 2017
Rep. Wagner Brings Back Taxpayer ID Theft Protection ActBill would allow anyone an IP PIN, which provides taxpayers another level of security, Wagner said.
October 25, 2017
Watchdog Group Sues DOL Over Fiduciary Rule DocumentsThe group, American Oversight, is suing Labor for not responding to its FOIA request to release relevant documents about its fiduciary rule.
October 25, 2017
Senate Votes to Kill CFPB Anti-Arbitration RuleThe rule is aimed at making it easier for customers to sue banks. Vice President Pence cast the tiebreaking vote.
October 24, 2017
SEC Nominees Say Fiduciary Rule Isn’t Top PriorityMeanwhile, Chairman Jay Clayton signaled at a SIFMA event that SECs rule would not supplant DOLs.