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.
Wells Fargo Earnings Marred by $2B Reg Charge
By Hannah Levitt and Kevin Orland"We remain at risk of setbacks as we work to complete the work and put these issues behind us," CEO Charlie Scharf said.
October 12, 2022
SEC Votes to Modernize How BDs Can Preserve Electronic RecordsBDs will no longer be required to preserve records exclusively in "write once, read many" format.
October 12, 2022
Why the SEC Should Default to E-DeliveryInvestors prefer electronic delivery of documents, and it's secure and easier to maintain than paper.
October 12, 2022
Ex-RIA Comptroller in Father-Daughter Ponzi Scheme Gets 6-Year SentenceThe former comptroller's father, an ex-Securities America broker, was previously sentenced to 13 years in prison.
October 12, 2022
Grayscale: SEC Broke the Law in Bitcoin ETF DenialThe SEC in June denied Grayscale's application to turn its bitcoin trust into a spot bitcoin ETF.
October 12, 2022
FINRA Issues First Reg BI-Related FineA sanctioned ex-broker recommended trades that were "excessive in light of the customer's investment profile," FINRA said.
October 12, 2022
BNY Mellon Debuts Crypto Custody Platform for Bitcoin and EtherThe move comes after the SEC said public companies holding crypto assets must treat them as liabilities on their balance sheets.
October 11, 2022
10 Quick Facts About the New IRS Final Health Premium 'Family Glitch' RegsOfficials say workers will need advice about "split coverage" tradeoffs.