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.
Fed Exec Reveals Trading Violations; Powell Opens Probe
By Jonnelle MarteRaphael Bostic's revelations start a new phase of an embarrassing and damaging Federal Reserve ethics scandal that erupted last year.
October 12, 2022
10 Estate Planning Strategies to Rethink After the Secure ActNearly three years in, parts of this mammoth retirement law still haven't been finalized.
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.