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.
Merrill to Bar Trainees From Cold Calling: Report
By Janet LevauxThe wirehouse is launching a new training program using internal referrals and LinkedIn messages, according to The Wall Street Journal.
May 21, 2021
Treasury Calls for Crypto Transfers Over $10K to Be Reported to IRSBusinesses receiving Bitcoin and other crypto assets valued at over $10,000 would need to report these transactions, as they do now with cash, the department proposes.
May 21, 2021
Human Capital: FSI's Bellaire Sounds Off on DOL Withdrawal of Independent Contractor RuleFSI's David Bellaire talks about how the withdrawal of the rule is affecting advisory firms.
May 21, 2021
8 Top Enforcement Trends FINRA's Watching NowBad actors still lie, cheat and steal, but their methods have changed — and so have FINRA's enforcement tactics.
May 21, 2021
Reg BI Exams: Here's What to ExpectAreas of focus include rollovers, fees and complex products.
May 19, 2021
FSI Lobbies Senators for a Fix After DOL Kills Independent Contractor RuleThe loss of independent contractor status would be "devastating" to advisors, FSI's David Bellaire tells ThinkAdvisor.
May 19, 2021
DOL's New Fiduciary Guidance for Rollovers: What Advisors Should KnowDetails are emerging that can help advisors understand their obligations under Labor's new standard.
May 19, 2021
Brokers Still Gaming BrokerCheck With New Tactics: PIABA"Straight-in expungements" are the latest example of how investors and state regulators are left out of the expungement process, lawyers argue.