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.
House Votes to Boost Number of Investors Allowed in Venture Capital Funds
By Melanie WaddellThe Supporting Americas Innovators Act, which now moves to Senate, increases the limit from 100 to 250 investors per fund.
April 05, 2017
SEC Takes Aim at Political Contributions by Investment AdvisersWhile it remains unclear how and when regulators will act, the recent settlements and the SEC's handling of exemptive relief petitions may provide some clues.
April 04, 2017
DOL Releases Its Delay of Fiduciary RuleDOL issues final rule to delay compliance date by 60 days; asks for comments on Trump memorandum.
April 04, 2017
DOJ Says DOL Fiduciary Rule Delay Coming WednesdayIn court filing, DOJ says OMB review of Labors draft fiduciary rule is "nearly complete."
April 04, 2017
Senate Banking Votes to Advance Clayton to SEC Chair PostThe committee voted to send Jay Clayton's nomination to the full Senate.
April 03, 2017
DOL Delay Leads to Some Regrouping at BDsMerrill Lynch recently told its Thundering Herd that it plans to explore options for at least some clients who might benefit from commissions in retirement accounts.
April 03, 2017
Digital or Mental Defense?When it comes to cybersecurity, the SEC may be the least of your problems.
April 03, 2017
Ex-Enforcement Chief Suggests Priorities of a Jay Clayton SECA telling statistic about the Trump administration from the recent Hispanic Chamber of Commerce's Legislative Summit: 1,200 nominees must be confirmed for each new administration, of which 25 have been confirmed so far.