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.
Why Bitcoin Bull Boneparth Is Waiting for a Crypto ETF
By Bernice NapachA Bitcoin ETF would remove many obstacles to recommending the cryptocurrency to clients, the advisor says.
April 14, 2021
Senate Confirms Gary Gensler as SEC ChairSenators voted 53-45 to confirm Gensler, a former CFTC chief and MIT professor.
April 14, 2021
Top 12 Overlooked Tax Deductions: 2021Don't let your clients leave tax breaks on the table.
April 14, 2021
Bernard Madoff, Mastermind of Giant Ponzi Scheme, Dies at 82The Manhattan investment adviser promised stellar returns to his A-list clients and instead defrauded them of more than $19 billion.
April 13, 2021
U.S. Likely Failing to Collect $1 Trillion a Year in TaxesCryptocurrency and tax evasion by the wealthy contribute to the tax gap, IRS Commissioner Rettig says.
April 13, 2021
DOL Releases Fiduciary Rule GuidanceThe department has released FAQs for investment professionals and investors.
April 13, 2021
SEC, NASAA Issue Alerts on ESG InvestingRegulators are concerned that a lack of standards for ESG investing has led to policies and practices that can mislead investors.
April 13, 2021
JPMorgan Sues Ex-Advisor for Moving Clients to Wells FargoThe advisor has been calling former clients, with at least one reporting he was annoyed by multiple calls, JPMorgan says in the suit.