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's ESG Plans for Public Companies May Get Frosty Reception in Court
By Nicolas MorganCourts have not looked favorably on requiring public companies to disclose information not necessary for preventing deception in investing decisions.
April 06, 2021
Fidelity, Other Investment Firms Form Crypto Lobbying GroupThe Crypto Council for Innovation also includes Coinbase, Square and Paradigm.
April 06, 2021
FINRA Zooming In on Platform Outages, Suspicious Activity ReportsThe regulatory group also is looking at broker-dealer communications about digital assets in its exams, according to one executive.
April 05, 2021
FINRA Fines Ex-Broker for Trades in Deceased Client's AccountThe broker was terminated by Insigneo Securities after it learned he continued to trade in an account after the had client died, according to FINRA.
April 05, 2021
UBS Must Pay $371K to Clients: FINRA PanelA FINRA arbitration panel ruled in favor of UBS clients, who alleged the firm's options-trading strategy exposed them to significant risks.
April 05, 2021
CFPB Proposes to Stop Foreclosures Through End of 2021The agency's plan is an attempt to give borrowers time to find ways to make payments once pandemic relief ends.
April 02, 2021
Is an AML Crackdown Coming for RIAs?Under Gensler, the SEC might revive a dormant AML policy plan, lawyer Ben Marzouk says.
April 02, 2021
IRS to Refund Taxes Paid on 2020 Jobless BenefitsTaxpayers don't need to file an amended return unless the change qualifies them for additional tax benefits.