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 to Let Insurers Register RILAs on a Simpler Form
By Allison BellThe shift also affects market-value-adjusted annuities but not annuity spigots plugged into ordinary portfiolios.
July 01, 2024
New IRS Rules Require BDs to Report Sales, Exchanges of Digital Assets"Great news all around!" Ric Edelman says of the new requirements.
June 29, 2024
SIFMA, FSI Join Suit to Strike Down DOL Fiduciary RuleThe trade groups join insurance industry groups in asking a court in Texas to vacate the rule.
June 28, 2024
Supreme Court Ruling Set to Weaken SEC, DOL AuthorityAttorneys and lawmakers weighed in Friday on the court's decision to overturn the Chevron doctrine.
June 28, 2024
5 Ways a New Supreme Court Ruling Could Shape Life, Health and Advice RegsThe SEC, Labor Department and others have used the Chevron ruling, now overturned, to establish their authority.
June 28, 2024
FINRA Goes Quiet as Its Caseload PlungesTotal fines are down by half since 2016, raising the question: Will the watchdog catch the industry's next big fraud?
June 28, 2024
Ex-New York Life Rep Falsified Applications: FINRAShe paid premiums for customers and collected commissions, FINRA says.
June 28, 2024
Supreme Court Overturns Chevron Rule in Blow to Agency PowerThe ruling raises new questions about agencies' power to regulate emerging fields like crypto and AI.