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.
National Securities Closes Its Doors
By Jeff BermanThe broker-dealer ceased operations this week, and its advisors moved to B. Riley Wealth through a merger.
July 28, 2022
SEC's Gensler Steps Up Push to Get Crypto Exchanges to RegisterHe has asked agency staff to work with digital-asset exchanges so that they are "regulated much like securities exchanges."
July 28, 2022
House Financial Services Committee OKs Annuity BillH.R. 4865 could create a simpler registration process for registered index-linked annuities.
July 28, 2022
3 Senators Challenge Fidelity's 'Immensely Troubling' 401(k) Bitcoin PlanBitcoin fans say the senators are on the wrong side of history.
July 28, 2022
The 3 Top Issues at Industry Events NowFinancial-services conferences are shining a spotlight on the importance of social media and supervising electronic communications.
July 27, 2022
SEC Hits JPMorgan, UBS, TradeStation for Identity Theft ViolationsThe three firms had deficiencies in programs to prevent customer identity theft, violating the SEC's Identity Theft Red Flags Rule, or Regulation S-ID.
July 27, 2022
DOL Drafts Rules for IRA Asset Managers With Foreign Criminal ConvictionsManagers could ask the Labor Department to tell them whether the foreign convictions were relevant.
July 27, 2022
'Educators Are Angry': Equitable's $50M Penalty Points to Wider 403(b) ProblemsEquitable was fined for sending misleading fee statements to 1.4 million investors, mainly teachers.