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.
Former SEC Chair Mary Jo White speaks
By Melanie WaddellIn 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 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?
January 30, 2017
Trump’s Bid to Slash Regulations Faces Bureaucratic RoadblocksExperts say killing a regulation is not as simple as it seems.
January 30, 2017
SEC Exam Chief Wyatt to ExitMarc Wyatt will leave in February; Pete Driscoll will become acting OCIE director.
January 30, 2017
Trump Issues Order to ‘Knock Out’ 2 Regs for Every New OneDodd-Frank is a disaster; were going to be doing a big number on Dodd-Frank, Trump told small-business leaders.
January 27, 2017
SEC Busts ‘Hamilton’ Ticket Resale Ponzi SchemeSEC accuses two New Yorkers of running a Ponzi scheme with money raised from investors to purchase and resell tickets to high-demand shows.