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.
Ex-SEC Commish: Third-Party Advisor Exams Coming, so Speak Up Now
By Melanie WaddellIf advisors want to be a part of the discussion on the SEC's third-party exam rule, now's the time,Troy Paredes said at MarketCounsels summit.
December 04, 2015
SEC to Consider Rule to Limit Funds' Use of DerivativesThe commission will look at possible rule on the use of derivatives by registered investment companies and BDCs.
December 04, 2015
Puerto Rico's Debt Deal Goes to Supreme CourtHigh court likely to rule by June in battle with bondholders.
December 04, 2015
5 Not-So-Bold Regulatory Predictions for 2016The sheer volume of complicated rulemaking that is pouring out of Washington bodes well for securities attorneys' billable hours but not for advisors' bottom lines.
December 03, 2015
SEC Enforcement: RIA Fined for Backtested Data MisuseMeanwhile, two bitcoin mining companies and their founder were charged with running a Ponzi scheme.
December 03, 2015
SIFMA Outlines 2016 PrioritiesSIFMA CEO and President Ken Bentsen listed the trade associations major initiatives, starting with cybersecurity.
December 03, 2015
Email Privacy Act Could Stifle SEC Investigations: Enforcement ChiefA bill under consideration would block the SEC from obtaining critical evidence from Internet service providers, enforcement chief Andrew Ceresney warned a House panel.
December 02, 2015
Lawmakers Building Support for DOL Fiduciary Rule AlternativeA DOL spokesman says lawmakers are "undermining public confidence in the rulemaking process" by working on bill to block the rule.