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 Issues Crowdfunding Alert
By Melanie WaddellOn May 16, companies will be able to use crowdfunding to sell securities to the public. The SEC offers investors a primer.
February 11, 2016
California regulators say they're investigating ZenefitsDave Jones emphasized the importance of laws governing the training and licensing of insurance agents.
February 11, 2016
FINRA Bars 2 Brokers in Hedge Fund FraudBrokers told investors the fund was a "growth" fund with risk controls when in reality it was a "highly speculative investment," FINRA says.
February 11, 2016
Sen. Warren Accuses Annuity Providers of Double Talk on DOL Fiduciary RuleWarren tells OMB that despite insurers' public "doomsday" predictions about the DOL fiduciary rule, investors are told that all is rosy.
February 10, 2016
QLAC regulations: Why they should matter to youThe U.S. Treasury has issued final regulations for Qualifying Longevity Annuity Contracts in retirement plans and IRAs. Heres what retirement advisors need to know.
February 10, 2016
QLAC regulations: Why they should matter to youThe U.S. Treasury has issued final regulations for Qualifying Longevity Annuity Contracts in retirement plans and IRAs. Heres what retirement advisors need to know.
February 10, 2016
Zenefits CEO resignsThe new head, David Sacks, says he'll focus on on compliance.
February 10, 2016
SEC Has ‘Open Investigations’ of Private Offerings to Accredited InvestorsThe SEC is investigating whether some issuers of private placements failed to properly vet accredited investors, Chairwoman Mary Jo White said.