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 Seeks Feedback on BDs' Cloud Computing Practices
By Melanie WaddellFINRA seeking comments on new report, including areas where guidance or modifications to FINRA rules may be desired to support cloud adoption.
August 11, 2021
Gensler to Sen. Warren: SEC Needs More Authority to Regulate CryptoRegulators "would benefit from additional plenary authority to write rules for and attach guardrails to crypto trading and lending," Gensler says.
August 09, 2021
SEC Bars Ex-Pimco CEO Hodge Over College Admissions ScamThe sanction comes more than a year after the executive was sentenced to nine months in prison for his actions.
August 09, 2021
DOL Rules on ESG Investments Land at OMBBiden has asked that the plan related to ESG investments in retirement accounts be published by September.
August 09, 2021
SEC Approves Nasdaq Board Diversity PlanThe rules give investors "a better understanding of Nasdaq-listed companies' approach to board diversity," said SEC Chairman Gary Gensler.
August 06, 2021
10 Worst Financial Advisors in America to Date in 2021The latest advisors and brokers who "qualified" so far include alleged scammers, an alleged batterer and a registered sex offender.
August 05, 2021
Gensler Gets Wish as Bitcoin Futures ETF Filings LandWithin the past 24 hours, ProShares and Invesco have registered plans with the SEC for funds based on futures.
August 05, 2021
Interactive Brokers Hit With Class-Action Suit Over $23M Ponzi SchemeThe firm disregarded its own compliance department's red flags and written internal compliance policies to further aid the scheme, the suit states.