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 Enforcement: Golf Buddies Charged in Insider Trading Ring
By Marlene Y. SatterIn other actions, a former New Mexico governor was charged in a microcap scheme.
July 16, 2014
SEC on a Dodd-Frank ‘Death March’: GallagherThe SEC has been on a death march to finish Dodd-Frank rulemakings unrelated to its core mission, SEC Commissioner Gallagher said Wednesday.
July 16, 2014
Treasury’s Final Longevity Annuity Regulations May Spark GrowthIn its new QLAC regulations, the Treasury Department has quietly left open the door for variable and indexed annuities to enter the market.
July 16, 2014
GOP Blocks SEC User Fees From Spending BillHouse Republicans rejected Rep. Maxine Waters attempt to amend an appropriations bill by adding her user-fees legislation to help boost advisor exams.
July 15, 2014
20 Best Ways to Fix Dodd-Frank ActFormer Sen. Chris Dodd says his namesake financial reform law is "working pretty well." But the Bipartisan Policy Center sees room for improvement.
July 14, 2014
The FBI Ran an Ultimate Fighting Pump-and-Dump ScamBloomberg View blogger Matt Levine on how the FBI took over a shell company and busted five stock promoters.
July 14, 2014
Final longevity annuity regulations clear path for future growthThe Treasury has quietly left open the door for variable and indexed annuities to enter into the QLAC market.
July 11, 2014
Rep. Waters Calls for Hearing on Advisor ExamsThe top Democrat on the House Financial Services Committee wants a hearing on ways to boost advisor exams, including her user fees bill.