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.
Cathie Wood's Ark Files for Bitcoin ETF as Wait for SEC Goes On
By Vildana HajricThe ARK 21Shares Bitcoin ETF would track the cryptocurrency's performance and hold Bitcoin, too, says a filing.
June 28, 2021
How Secure Act's 10-Year Rule Creates Tax Headaches for IRA HeirsPlanning for inherited IRAs and 401(k)s has become more complex than ever under the Secure Act.
June 28, 2021
New Law to Boost Life Policy Savings Power: Carrier ExecutivesNAILBA meeting speakers said a tax code change enacted in January will help clients accumulate more cash value.
June 25, 2021
Peter Thiel's $5 Billion Roth IRA: Tax Pro Jeffrey Levine Weighs InLevine discusses ProPublica's recent reveal: Did the billionaire break any rules? What if your clients want to copy him?
June 25, 2021
Merrill to Pay More Than $11M Over UIT RolloversOver 3,000 clients incurred potentially excessive sales charges in connection with early UIT rollovers, FINRA says.
June 23, 2021
Guggenheim Securities Slapped by SEC for Violating Whistleblower RulesThe Guggenheim training manual forbade employees from communicating directly with the SEC, according to the agency.
June 22, 2021
FINRA Advances Senior Exploitation RuleThe rule would extend the hold period and allow temporary holds on securities transactions in cases of suspected financial exploitation.