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.
Grayscale Moves Ahead on Plans to Convert Bitcoin Trust to ETF
By Bernice NapachThe NYSE has just filed with the SEC to list the Grayscale Bitcoin ETF.
October 18, 2021
First Bitcoin Futures ETF Starts Trading TuesdayThe SEC's approval of the ProShares Bitcoin Strategy ETF (BICO) has opened a new chapter in crypto investing.
October 15, 2021
4 Tech Trends Transforming 401(k)sEvery aspect of the retirement industry is changing, and technology is at the core of it all, a Vestwell survey found.
October 15, 2021
5 First-of-Their-Kind SEC Enforcement ActionsRecent actions include one involving crowdfunding and one involving securities using decentralized finance, or DeFi, technology.
October 14, 2021
SEC Set to Allow Bitcoin Futures ETFs as Deadline LoomsThe regulator isn't likely to block the products from starting to trade next week, said people familiar with the matter.
October 14, 2021
SEC's First-Ever Chief Risk Officer Heads to Holland & KnightThe firm is "committed to strengthening its broker-dealer and investment adviser legal advisory practice, so I was thrilled with this opportunity," said Gabriel Benincasa.
October 14, 2021
SEC to Require More Admissions of WrongdoingFirms who admit wrongdoing send a signal to others to stamp out misconduct, the SEC says of reviving the Obama-era policy.
October 13, 2021
DOL Opens Door for More ESG Investments in 401(k)sThe agency proposed a new rule that would undo the restrictions imposed under the Trump administration.