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 Delays Ruling on Bitcoin ETF in Blow to Crypto Traders
By Claire Ballentine and Ben BainThe SEC wants more public comment on a proposal to list a product on the Cboe.
June 15, 2021
Closed Courts, Missing 401(k) Participants Confront DOL Agency: GAOFinding missing participants in retirement plans will remain a long-term challenge and may require more resources.
June 15, 2021
SEC Names Harvard Professor as General CounselMeanwhile, Renee Jones of Boston College becomes the first Black woman to lead one of the SEC's four major divisions.
June 15, 2021
Excited About SEC's New Ad Rule? Not So FastAdvisory firms are itching to use testimonials before their compliance departments are ready.
June 14, 2021
SEC Plans More Changes to Accredited Investor DefinitionRules around money market funds, ESG, gamification, a shortened settlement cycle and advisor custody are also on the SECs agenda.
June 14, 2021
Dentist Turned Advisor Fined Over Fraudulent OfferingsThe advisor has agreed to pay $600,000 to settle allegations he engaged in three separate securities frauds, the SEC says.
June 11, 2021
DOL to Redefine 'Fiduciary' in New RuleLabor says it plans "to more appropriately define" when advisors to employee benefit plans and IRAs are fiduciaries.
June 11, 2021
Ex-LPL Broker Faces Up to 20 Years in Prison for Raiding Clients' AnnuitiesThe former broker has been charged with three counts of wire fraud, one count of mail fraud and one count of aggravated identity theft.