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.
Gensler Talks GameStop Volatility at SEC Nomination Hearing
By Melanie WaddellIssues such as best execution, trading apps and payment for order flow need review in light of the recent trading frenzy, he says.
March 01, 2021
Gensler to Stress 'Clear Rules of the Road' at SEC Nomination HearingIn his prepared testimony, Gensler also says "markets — and technology — are always changing. Our rules have to change along with them."
March 01, 2021
FINRA Fines Ex-Morgan Stanley Rep Over Inaccurate Meal Expense ReportsThe advisor sued Morgan Stanley for wrongful termination.
February 26, 2021
SEC Halts Trading in 15 Companies Due to Social Media ActivityThe regulator is responding to "potential attempts to exploit investors during the recent market volatility," it says.
February 25, 2021
DOL Expands Eligibility for Pandemic Unemployment BenefitsThree new categories of workers have been added, and benefits will be retroactive.
February 25, 2021
SEC Amps Up Reg BI Exams"Good-faith" compliance efforts are no longer enough, an SEC exam official warns.
February 25, 2021
Reddit GameStop Squeeze Is a Game ChangerOne outcome of the GameStop incident could be the SEC moving to a T+1 settlement date for securities transactions.
February 24, 2021
Will the 2021 Tax Filing Deadline Be Extended? CPA Group Asks IRS for ClarityReports indicate IRS may move the April 15 deadline if Congress approves another round of economic impact payments.