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 Investor Advocate: Does Gamification Mean Game Over for Reg BI?
By Melanie WaddellFor Reg BI to remain relevant, the SEC must make clear when digital "nudges" to trade are recommendations, Rick Fleming says.
October 12, 2021
Reg BI to Be Folded Into Regular SEC ExamsThe "good news is there's not going to be a Phase 3" of Reg BI exams, said the SEC's John Polise.
October 11, 2021
FINRA Bars Ex-LPL Broker Who Allegedly Took an Older Client's FundsThe former LPL broker was terminated by the firm for failing to disclose outside business activity.
October 11, 2021
Coinbase Hit With Class-Action Suit for Failure to Register as an ExchangeCoinbase has denied that the digital assets it lists on the Coinbase Digital Asset Platforms are securities, the suit states.
October 11, 2021
Gensler's Terrible 10: SEC Rules That Make Wall Street TrembleThe SEC chair is laying out one of the most ambitious agendas in the SEC's 87-year history -- some 49 proposals, many already drawing opposition.
October 08, 2021
Why Wall Street Could Get 4 Bitcoin Futures ETFs This MonthThey'll hold Bitcoin futures, not the digital asset itself, and are filed under the Investment Company Act of 1940 -- which offers higher investor protection.
October 08, 2021
FINRA Upholds Bar of Ex-RBC Broker Accused of Taking $1M After Trading ErrorThe broker, who returned the money after RBC corrected the error, said he didn't know he'd received it by mistake.
October 08, 2021
FINRA Clarifies Video Use, Links in Ad Rule FAQThe FAQ also addresses "targeted return" projections.