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 Will Enforce Reg BI to the Letter: Gensler
By Melanie WaddellBut if the rule isn't protecting investors, the commission will "update and freshen" it, he told lawmakers.
May 04, 2021
SEC Delays Bitcoin ETF ApprovalThe agency pushed off its decision on whether to approve a Bitcoin ETF for VanEck until at least June 17.
May 03, 2021
LUMINARIES FAQ: How to Participate in ThinkAdvisor's New Awards ProgramThere are two weeks left to nominate advisors and firms for our new, pioneering recognition program. Here's what you need to know.
April 30, 2021
Tougher DOL Fiduciary Rule Is on the Way. But When?Former EBSA head Preston Rutledge tells ThinkAdvisor where he thinks the rule stands on Labor's priority list.
April 30, 2021
Barred Long Island Broker Charged in Pre-IPO Share ScamThe broker and his partner allegedly took $436,000 from investors who thought they were buying shares of Peloton, WeWork or Airbnb.
April 30, 2021
Has the SPAC Spigot Finally Run Dry?The days of 20 or 30 new SPACs each week may be behind us. And that isn't necessarily a bad thing, experts say.
April 28, 2021
SEC's New Enforcement Chief Resigns After Days in RoleHer conduct as a lawyer in an ExxonMobil civil case was called into question, Bloomberg reported.
April 28, 2021
IRS Pandemic Response Challenge: How Does Your Firm Compare?An oversight agency says the IRS employed many more people to answer the phones but took 64% longer to answer calls.