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 Rejects WisdomTree's Spot Bitcoin ETF Application
By Bernice NapachIt was the agency's second Bitcoin ETF rejection in a month. Fidelity Canada launched its first spot Bitcoin ETF in Toronto.
December 01, 2021
SEC Updates List of Deceptive Firms, Fake RegulatorsThe firms on the SEC's PAUSE list provide inaccurate information or impersonate other firms.
November 30, 2021
Ex-Merrill Broker Says He's Relieved After Do-Not-Call Allegation ExpungedAn arbitrator for FINRA called the allegation made by Merrill against its former broker defamatory in a recent decision.
November 30, 2021
DOL Unit Recovered $2.4B for Retirement Plans, Savers in 2021In fiscal 2021, EBSA closed 1,072 civil investigations, with 741 of those investigations resulting in monetary penalties.
November 30, 2021
FINRA Bars Ex-Morgan Stanley Rep Accused of Using Client Credit Line for HimselfThe former broker also faced multiple client complaints alleging he misappropriated funds or made unauthorized withdrawals, FINRA says.
November 29, 2021
4 Big FINRA Rule Changes in 2021The BD regulator has been busy updating its rule book, and more changes are expected in 2022.
November 29, 2021
Biden's Pick for Key DOL Post Is Up for Vote; Fiduciary Rule Delay ExpectedA former EBSA head says Labor won't meet its December deadline to release a new fiduciary rule.
November 24, 2021
10 Cool Holiday Gifts for Clients Under $100These gifts range from the practical to the nice-to-have to the whimsical and fit within FINRA's client gifting rules.