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.
Wall Street Steps Up Bitcoin ETF Push With SEC Verdict Unknown
By Claire Ballentine and Olivia RaimondeWisdomTree, VanEck, NYDIG and Valkyrie have filed applications for ETFs tracking the largest cryptocurrency; Grayscale is building a team.
March 15, 2021
SEC Charges Trader With Fraud Over False TweetsThe Irvine, California-based trader used Twitter and other channels to spread false information about a defunct company, the SEC says.
March 15, 2021
SEC Examiners to Target SPACsExam team also probing mutual fund to ETF conversion and nontransparent ETFs.
March 15, 2021
Human Capital: SEC's Lee Zeroes in on SPACsWelcome back to Human Capital. I'm Melanie Waddell, ThinkAdvisor's Washington Bureau Chief. This week's hot topic was SPACs — special purpose acquisition…
March 12, 2021
Unregistered Investment Advisor Pleads Guilty to Securities FraudHe took millions of dollars of client money out of the funds he managed to repay other investors, prosecutors said.
March 11, 2021
Be Wary of Celebrity SPAC Endorsements, SEC WarnsSponsors may have conflicts of interest, so their economic interests in the SPAC may differ from those of shareholders.
March 10, 2021
Gensler SEC Nomination Advances to SenateThe Senate Banking Committee approved it by a 14-10 vote.
March 10, 2021
DOL Won't Enforce New Rules on ESG in Retirement PlansThe rule limiting ESG investments in 401(k) plans "has had a chilling effect on plan fiduciaries," ERISA lawyer Fred Reish says.