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-Billionaire Gets 7 1/2-Year Sentence for Defrauding Investors Goldman, Google
By Steve StrothRishi Shah, who sold ads on TVs in doctors' offices, was convicted of over a dozen fraud and money laundering charges last year.
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.
June 27, 2024
Supreme Court Curbs SEC's In-House Judges in Fraud CasesThe 6-3 decision could reduce the agency's leverage to extract high-dollar settlements.