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.
Number of Registered Reps Falls for Fifth Straight Year: FINRA
By Melanie WaddellThe number of BD firms has fallen every year for more than a decade, FINRA reports.
May 24, 2021
Sen. Warren Wants Mandatory Funding for the IRSThe bill would remove the agency from the appropriations process and protect it from budget cuts.
May 24, 2021
FINRA Plans Fee Hike as Early as Next YearThis year marks the eighth consecutive year that FINRA has not increased fees.
May 24, 2021
Merrill to Bar Trainees From Cold Calling: ReportThe wirehouse is launching a new training program using internal referrals and LinkedIn messages, according to The Wall Street Journal.
May 24, 2021
Trendspotter: Why Reg BI Will Push More BDs Into RIA ModelThe compliance costs, and SEC Chair Gensler's signaling that he's serious about enforcement, are accelerating a trend in progress.
May 21, 2021
Biden Orders DOL to End or Revise Rules Limiting ESG InvestmentsThis is one of several directives in a wide-ranging executive order addressing the government's response to climate change.
May 21, 2021
Treasury Calls for Crypto Transfers Over $10K to Be Reported to IRSBusinesses receiving Bitcoin and other crypto assets valued at over $10,000 would need to report these transactions, as they do now with cash, the department proposes.
May 21, 2021
Human Capital: FSI's Bellaire Sounds Off on DOL Withdrawal of Independent Contractor RuleFSI's David Bellaire talks about how the withdrawal of the rule is affecting advisory firms.