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.
FINRA Warns BDs of Reg BI Obligations on Complex Products
By Melanie WaddellFINRA is seeking feedback from BDs on how they're handling complex products as it weighs changes to the rules.
March 08, 2022
Biden to Sign Crypto Order as Firms Face Sanctions PressureThe order will ask federal agencies to review potential regulatory changes, national security concerns and the economic impact of digital assets.
March 07, 2022
These Compliance Issues Are Top of Mind for Regulators. Are You Ready?The SEC exam division still struggles with advisor exams, but that won't stop a heightened focus on Reg BI.
March 07, 2022
Ex-LPL Rep Who Put Clients' Funds in Tequila Company Takes Shots From FINRAThe former LPL and Royal Alliance broker has been suspended for seven months and fined $5,000.
March 04, 2022
Debate: Should Clients Use a Backdoor Roth IRA in 2022?Should high-income clients use this strategy while they can, or are they risking a tax headache in the future?
March 04, 2022
Should You Generate Income via Stablecoin Lending?Stablecoin lending is a new way to earn passive income. Here's what advisors should know about it.
March 04, 2022
Schwab Dips Toe Into Crypto ETF MarketThe firm filed a prospectus with the SEC for an ETF targeting companies benefiting from crypto and crypto-related tech.
March 04, 2022
SEC Slams RIA With $30M Fine Over 12b-1 Fees, Proprietary FundsThe SEC is getting "aggressive" in fighting breaches of fiduciary duty, Ron Rhoades told ThinkAdvisor.