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.
Senators Delay Crenshaw Vote, Increasing Odds of All-GOP SEC
By Lydia BeyoudThe commissioner dissented to spot bitcoin ETF approval and supports stricter climate-related disclosure rules.
December 10, 2024
Trump Will Have a Big Impact on Client PortfoliosYes, the next four years will be very different from the past four.
December 10, 2024
Ex- Broker Settles SEC Fraud, Reg BI Charges for $2MChristopher Booth Kennedy has agreed to pay more than $2 million to settle the charges.
December 10, 2024
8 Pros and Cons of Mandatory Arbitration for RIAsThe process can be more timely and cost -effective for dispute resolution, but it also has some downsides.
December 10, 2024
CEO Murder Suspect Was Ivy League Graduate Who Praised UnabomberFormer prep school valedictorian Luigi Nicholas Mangione has been charged with the murder of insurance executive Brian Thompson.
December 10, 2024
Number of CFP Exam-Takers Sets New HighThe pass rate for the November exam was 62% with the second-largest number of people taking it.
December 09, 2024
Morgan Stanley to Pay $15M Over Advisors Who Stole Millions From Clients: SECThe firm failed to monitor reps' wire and externally initiated ACH transfers, the SEC said.
December 06, 2024
Trump's SEC Pick Criticized Bank Regulators' Efforts to Expand ScopePaul Atkins told them to stop trying to oversee solvency at life and annuity issuers and asset managers.