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 Keeps Its Business Continuity Rule Intact
By Melanie WaddellThe rule "has been effective at ensuring member firm preparedness for a wide range of potential business disruptions," says FINRA.
December 28, 2021
Ex-Waddell & Reed, NYLife Reps Sanctioned for Alleged ForgeryFINRA bars the former New York Life registered representative, while fining and suspending the ex-Waddell & Reed rep.
December 28, 2021
SEC's Gensler Taps Law Professor for Key PostWilliam Birdthistle, a professor at Chicago-Kent College of Law, has been hired as director of the Division of Investment Management.
December 28, 2021
Last-Minute Tax Loss Harvesting Tips for 2021Clients have a few days left to prevent a surprise tax hit from digging into their profits, say the two tax experts.
December 28, 2021
What's Next for Build Back Better, Form CRS and the New Fiduciary Rule?Greg Valliere, Ron Rhoades and Fred Reish weigh in on what lies ahead for new laws and rules coming out of Washington in 2022.
December 28, 2021
8 Bitcoin Tax Facts to KnowAre you advising your clients correctly when it comes to their investments in cryptocurrencies and the IRS?
December 26, 2021
Sustainable Investing: The Outlook for 2022Through the third quarter, global sustainable funds amassed some $4 trillion in assets, including more than $330 million in U.S. mutual funds and ETFs.
December 23, 2021
SEC Rejects Two Spot-Bitcoin ETFsRegulators handed cryptocurrency enthusiasts a proverbial bag of coal ahead of the Christmas holiday.