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.
What Should the SEC Require in Climate Change Disclosures?
By Bernice NapachThe agency received hundreds of responses to its call for input on climate change disclosure rules.
June 21, 2021
FINRA Arbitrator Roster Becoming More DiverseThe regulator reported on the diversity of its arbitrators, officers and total workforce.
June 18, 2021
SEC Adjusts 'Qualified Client' Threshold for Advisor Performance FeesAdvisors can charge performance fees only to clients who exceed this threshold in AUM or net worth.
June 17, 2021
SEC Delays Ruling on Bitcoin ETF in Blow to Crypto TradersThe SEC wants more public comment on a proposal to list a product on the Cboe.
June 16, 2021
SEC, FINRA, NASAA Launch Senior Safe Act Training ProgramThe program can be used for training on how to detect, prevent and report financial exploitation of senior and vulnerable adult investors.
June 16, 2021
Senate Bill Strengthens IRS Whistleblower ProtectionsA bill introduced by Sens. Wyden and Grassley updates, clarifies and improves the IRS whistleblower award program.
June 15, 2021
Closed Courts, Missing 401(k) Participants Confront DOL Agency: GAOFinding missing participants in retirement plans will remain a long-term challenge and may require more resources.
June 15, 2021
SEC Names Harvard Professor as General CounselMeanwhile, Renee Jones of Boston College becomes the first Black woman to lead one of the SEC's four major divisions.