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 Chief: Give Us More Power Over Crypto Before 'A Lot of People' Get Hurt
By Melanie WaddellLegislation granting the SEC more authority over cryptocurrency could get attached to a big spending bill this fall.
August 02, 2021
Biden's Order on Noncompetes: A Game-Changer for Small-Business Clients?Small businesses that may be affected should know the scope of the order — and act now to protect themselves.
August 02, 2021
FINRA Gets a Green Light to Crack Down on High-Risk Firms, BrokersThe proposed rule change, approved by the SEC, would place new obligations on FINRA member firms with a long record of misconduct.
July 30, 2021
House Panel Passes Bills on Family Offices, Payment for Order FlowOrder Flow Improvement Act directs the SEC to study and consider banning or limiting the payment for order flow in the form of exchange rebates or payments from market centers to broker-dealers.
July 30, 2021
Trump's Tax Returns Can Be Released to Congress, DOJ Tells IRSThat decision reverses a 2019 opinion that the Treasury Department shouldn't release the returns.
July 30, 2021
Biden Picks Benefits Lawyer to Head Labor's EBSAIf confirmed, Gomez would join Labor as it works on its new fiduciary rule.
July 29, 2021
Robinhood Falls in Debut as Retail Investors Keep Distance"It looks like nobody wants to touch it," said Max Gokhman, head of asset allocation at Pacific Life Fund Advisors.
July 28, 2021
Robinhood Under FINRA Investigation, AgainThe firm received a FINRA investigative request related to its CEO and co-founder not being registered.