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.
DOL Rules on ESG Investments Land at OMB
By Melanie WaddellBiden has asked that the plan related to ESG investments in retirement accounts be published by September.
August 05, 2021
Gensler Gets Wish as Bitcoin Futures ETF Filings LandWithin the past 24 hours, ProShares and Invesco have registered plans with the SEC for funds based on futures.
August 05, 2021
Interactive Brokers Hit With Class-Action Suit Over $23M Ponzi SchemeThe firm disregarded its own compliance department's red flags and written internal compliance policies to further aid the scheme, the suit states.
August 04, 2021
SEC Chief: Give Us More Power Over Crypto Before 'A Lot of People' Get HurtLegislation granting the SEC more authority over cryptocurrency could get attached to a big spending bill this fall.
August 03, 2021
SEC's Gensler Signals Pathway for a Bitcoin ETF With Tough RulesGensler said that an ETF that complies with the SEC's strict rules for mutual funds could provide investors with necessary protections.
August 03, 2021
SEC Poised to Bless Nasdaq Plan to Spur Diverse Corporate BoardsThe SEC is expected to give initial, and potentially binding, approval of the proposal by Aug. 8.
August 02, 2021
Biden's Order on Noncompetes: A Game-Changer for Small-Business Clients?Small businesses that may be affected should know the scope of the order — and act now to protect themselves.
August 02, 2021
FINRA Gets a Green Light to Crack Down on High-Risk Firms, BrokersThe proposed rule change, approved by the SEC, would place new obligations on FINRA member firms with a long record of misconduct.