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 OKs Advisory Committee Term Limits, Adjusts CE Fees
By Melanie WaddellTerm limits for members of FINRA's 12 advisory committees are intended to promote diversity.
May 26, 2021
SEC's Peirce Pushes for More Accredited Investor Rule Changes"We need to open additional doors to accredited investor status, such as educational credentials," Peirce said.
May 26, 2021
Ex-Chief of SEC Whistleblower Program Warns of Rising ActivityJane Norberg, who headed the SEC's whistleblower program, says tips surged during the pandemic.
May 25, 2021
Number of Registered Reps Falls for Fifth Straight Year: FINRAThe number of BD firms has fallen every year for more than a decade, FINRA reports.
May 25, 2021
New ETF Invests in Grayscale Bitcoin TrustSimplify is "very pleased to be launching SPBC, ... providing a liquid, scalable way to add Bitcoin exposure to a portfolio," said CEO Kim.
May 24, 2021
Think Tank Warns Against Overstretching the IRSCongress should think carefully before giving the IRS additional duties because it's already overwhelmed, the American Council for Capital Formation says.
May 24, 2021
Sen. Warren Wants Mandatory Funding for the IRSThe bill would remove the agency from the appropriations process and protect it from budget cuts.
May 24, 2021
FINRA Plans Fee Hike as Early as Next YearThis year marks the eighth consecutive year that FINRA has not increased fees.