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.
Lawmakers to Hold Hearings on GameStop Trading
By Melanie WaddellSen. Warren wants SEC's Lee to answer questions by Friday; the GameStop incident could speed Gensler's confirmation as SEC chair.
January 28, 2021
Advisor Advertising Rules Enter 21st CenturyThe SEC's new ad rule provides advisors many opportunities, as well as "requirements that may require more clarity," says IAA's Barr.
January 28, 2021
5 Ways to Address This Year's Top Compliance IssuesThe Securities and Exchange Commission continues to conduct examinations at a fast pace, and they remain quite aggressive.
January 28, 2021
Biden Fills Out Economic Team, Picking Boston Mayor to Head LaborA revamped Labor fiduciary rule as well as the SEC's Reg BI could be on tap in the New Year.
January 28, 2021
How Advisors Can Use Client Testimonials Under New SEC RuleAdvisors can now use client reviews in their marketing, but they should use caution, lawyers say.
January 27, 2021
SIFMA Takes Aim at SEC's CAT PlanIndustry members like BDs would be obligated to assume "all the liability associated with a breach or misuse of data" in the CAT.
January 27, 2021
SEC Likely to Probe GameStop Trading Surge, but What Will It Find?Identifying a violation of the securities laws will likely be challenging, lawyers told ThinkAdvisor.
January 27, 2021
IRS Creates New Chief Taxpayer Experience Officer PostThe new position will work with business units and offices across the IRS to serve taxpayers.