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.
Expect Reg BI Enforcement Actions, DOL Rollover Crackdown in 2022
By Melanie WaddellSusan Schroeder, Phyllis Borzi and others discuss big developments afoot at the SEC and Labor Department.
January 05, 2022
3 Steps for Tackling Cybersecurity This YearCybercriminals are threatening to use the client data they've collected to perpetrate more crimes, unless they're paid not to do so.
January 04, 2022
Biden Renominates Gomez to Key DOL PostThe Senate HELP committee will consider the nomination of Lisa Gomez to lead EBSA on Jan. 12.
January 04, 2022
Advisor Refuses to Provide Books and Records: SECMaterial misstatements and omissions were made in Form ADV, the SEC said.
January 04, 2022
SEC Punts Again on NYDIG Bitcoin ETFThe regulator is delaying its decision until March.
January 04, 2022
SEC's Gensler Taps Capitol Hill Veteran for Crypto RoleCorey Frayer, most recently a senior Senate Banking Committee staffer, will advise Gensler on cryptocurrency oversight.
December 30, 2021
6 Big Rules the SEC Plans to Tackle in 2022On the agency's agenda are proposals tied to exchange-traded products, money market reforms and other issues.
December 29, 2021
FINRA Fines, Suspends Ex-Morgan Stanley Rep for Allegedly Hogging CommissionsThe rep was one of several brokers fired by the wirehouse over alleged abuses in its Former Advisor Program.