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's Gensler Taps Law Professor for Key Post
By Melanie WaddellWilliam Birdthistle, a professor at Chicago-Kent College of Law, has been hired as director of the Division of Investment Management.
December 28, 2021
8 Bitcoin Tax Facts to KnowAre you advising your clients correctly when it comes to their investments in cryptocurrencies and the IRS?
December 26, 2021
Sustainable Investing: The Outlook for 2022Through the third quarter, global sustainable funds amassed some $4 trillion in assets, including more than $330 million in U.S. mutual funds and ETFs.
December 23, 2021
SEC Rejects Two Spot-Bitcoin ETFsRegulators handed cryptocurrency enthusiasts a proverbial bag of coal ahead of the Christmas holiday.
December 22, 2021
Bitcoin Fails to Make SEC Chief's To-Do List: 2022 OutlookSEC approval of a spot Bitcoin ETF remains in limbo as Republican commissioners balk at the omission of crypto from Gensler's agenda.
December 22, 2021
Electronic Signatures May Get Help From the D.C. GorillasThe shift away from paper signatures is part of Social Security streamlining efforts.
December 22, 2021
FINRA Fines Merrill $950K for Failing to Red-Flag Reps Stealing From ClientsTwo of the firm's reps stole over $6 million from 13 clients in separate schemes that ran for several years, according to FINRA.
December 21, 2021
Ex-OppenheimerFunds Analyst Pleads Guilty to Securities FraudThe New York funds analyst had been accused of misappropriating confidential info on pending trades by his employer.