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.
BlockFi to Pay $100M to SEC, States on Crypto Lending
By Matt Robinson and Joe LightThe penalty is the largest ever by the SEC against a crypto company.
February 11, 2022
DOL Seeks Feedback on Climate Risk in Retirement PlansOne question is if any annuities help savers manage climate-related financial risk.
February 11, 2022
6 Top Reg BI Compliance Failures: FINRAIn the first full year of exams on Regulation Best Interest, here's where BDs fell short.
February 10, 2022
Does Your Client Need to Repay Advance Child Tax Credits for 2021?The IRS has been updating its FAQ on the tax credit frequently, and the details are important.
February 10, 2022
Should the SEC Ban Payment for Order Flow? — SEC RoundupLawyers expect "some activity by the SEC in 2022" on this issue, Nick Morgan says in this video.
February 10, 2022
Ex-Merrill Advisor Who Hurled Drink, Racist Insults Suspended by CFP BoardThe advisor was recently arrested and charged over an incident at a Robeks smoothie shop in Connecticut.
February 09, 2022
SEC Outlines Cyber Rules, New Form for AdvisorsThe SEC is proposing new rules that would require advisors to adopt written policies and procedures to address cybersecurity risks.
February 09, 2022
FINRA to Update Variable Annuity Exam QuestionsOne question may be about how a firm supervises annuity buyouts.