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.
DOL Withdrawal of Independent Contractor Rule Threatens Indie Advisor Business Model: FSI
By Jeff BermanDOL's decision to withdraw the rule stands to increase costs for advisors and their firms, FSI's David Bellaire tells ThinkAdvisor.
May 10, 2021
FINRA Plans Return of In-Person Arb Hearings in JulyBeginning July 5, 62 of FINRA's 69 hearing locations will reopen for in-person proceedings, it says.
May 10, 2021
SEC's Gensler: Crypto Trading Needs More Federal OversightGensler will talk with Congress about authorizing a federal regulatory regime to oversee cryptocurrency exchanges, he told CNBC.
May 06, 2021
SEC Will Enforce Reg BI to the Letter: GenslerBut if the rule isn't protecting investors, the commission will "update and freshen" it, he told lawmakers.
May 06, 2021
T3 and ScratchWorks Team Up for Fall Conferences: Tech RoundupMeanwhile, Fidelity model portfolios are now available via JPMorgan's 55ip tax-smart investment strategy platform.
May 05, 2021
DOL Set to Withdraw Independent Contractor RuleFSI supported the rule and says it's "disappointed" by its withdrawal.
May 04, 2021
SEC Delays Bitcoin ETF ApprovalThe agency pushed off its decision on whether to approve a Bitcoin ETF for VanEck until at least June 17.
May 03, 2021
LUMINARIES FAQ: How to Participate in ThinkAdvisor's New Awards ProgramThere are two weeks left to nominate advisors and firms for our new, pioneering recognition program. Here's what you need to know.