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.
Peter Thiel's $5 Billion Roth IRA: Tax Pro Jeffrey Levine Weighs In
By Ginger SzalaLevine discusses ProPublica's recent reveal: Did the billionaire break any rules? What if your clients want to copy him?
June 23, 2021
Guggenheim Securities Slapped by SEC for Violating Whistleblower RulesThe Guggenheim training manual forbade employees from communicating directly with the SEC, according to the agency.
June 22, 2021
FINRA Advances Senior Exploitation RuleThe rule would extend the hold period and allow temporary holds on securities transactions in cases of suspected financial exploitation.
June 21, 2021
What Should the SEC Require in Climate Change Disclosures?The agency received hundreds of responses to its call for input on climate change disclosure rules.
June 21, 2021
Goldman Gets Review of Investor Suit in Supreme Court RulingInvestors, led by the Arkansas Teacher Retirement System, say they were deceived by the firm's assurances that it was avoiding conflicts of interest.
June 21, 2021
FINRA Retiring OATS to Make Way for CATIt will be "interesting" to see how the change affects FINRA's enforcement program, ex-enforcement chief Susan Schroeder says.
June 21, 2021
FINRA Arbitrator Roster Becoming More DiverseThe regulator reported on the diversity of its arbitrators, officers and total workforce.
June 18, 2021
SEC Adjusts 'Qualified Client' Threshold for Advisor Performance FeesAdvisors can charge performance fees only to clients who exceed this threshold in AUM or net worth.