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 Charges Advisor With Stealing to Pay for Lawsuit: Enforcement
By Emily ZulzIn other enforcement news, the SEC fined a California man and his fund in a golf resort investment scheme.
January 31, 2017
Former SEC chair Mary Jo White speaksIn an exclusive interview, White comments on the future of the SEC's fiduciary rule, her biggest achievement as SEC chair and what's ahead under the new administration.
January 31, 2017
Former SEC Chair Mary Jo White speaksIn an exclusive interview, White comments on the future of the SEC's fiduciary rule, her biggest achievement as SEC chair and what's ahead under the new administration.
January 31, 2017
Trump to Direct DOL to Delay Fiduciary Rule: SourcesThe order is expected to come this week. Meanwhile, Andrew Puzder's confirmation hearing has been pushed back again.
January 30, 2017
DOL Tries to Clarify QDIA Regs on Annuities in TDFsTDFs that feature annuities may be used as QDIAs in 401(k) plans, according to a Labor Department information letter.
January 30, 2017
IRS Eyeing Micro-Captive Insurance TransactionsThe IRS has let it be known that micro-captive insurance transactions are soon going to be under increased scrutiny.
January 30, 2017
Former SEC Chair Mary Jo White SpeaksAfter nearly four years as head of the SEC one of the longest terms served by any SEC chair outgoing Chairwoman Mary Jo White quips that she's not tired at all.
January 30, 2017
Sizing Up the New SEC Chair's AgendaCapital formation will likely play a big role in Jay Clayton's SEC but what does that mean, exactly?