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 Marketing Rule Is Hottest Compliance Topic for Second Year: Survey
By Melanie WaddellCybersecurity and ESG also grind compliance pros' gears, according to an annual IAA compliance survey.
June 30, 2022
Here's How FINRA Spent Its 2021 Fine MoneyIn 2021, FINRA enhanced BrokerCheck, the Fund Analyzer and created new, virtual events.
June 30, 2022
Grayscale Suing SEC After Its Bitcoin ETF Is RejectedA lawyer for Grayscale accused the SEC of "failing to apply consistent treatment to similar investment vehicles."
June 29, 2022
UBS to Pay $25M SEC Penalty Over Complex Options StrategyUBS advisors sold the Yield Enhancement Strategy even though some didn't understand the risks themselves, regulators say.
June 29, 2022
Democrats Weigh Paring Biden Tax Hike to Win Over ManchinThe changes could mean that wealthy households and U.S. corporations end up facing smaller tax hikes than first planned.
June 29, 2022
DOL's Rollover Reckoning Opens Doors for AdvisorsThe new rollover rule taking effect Friday presents a significant opportunity to stand out in the marketplace.
June 29, 2022
In Wells Fargo Case, FINRA Didn't Manipulate Arb Process: Independent ReviewThe review recommended, however, that FINRA increase transparency in the arbitrator selection process.
June 28, 2022
Phyllis Borzi: DOL's New Rollover Rules a 'Reasonable Step Forward'The former EBSA chief says next steps should address "the glaring loopholes" in the five-part test for fiduciary status.