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.
SEC Examiners to Target SPACs
By Melanie WaddellExam team also probing mutual fund to ETF conversion and nontransparent ETFs.
March 11, 2021
Be Wary of Celebrity SPAC Endorsements, SEC WarnsSponsors may have conflicts of interest, so their economic interests in the SPAC may differ from those of shareholders.
March 10, 2021
Gensler SEC Nomination Advances to SenateThe Senate Banking Committee approved it by a 14-10 vote.
March 10, 2021
DOL Won't Enforce New Rules on ESG in Retirement PlansThe rule limiting ESG investments in 401(k) plans "has had a chilling effect on plan fiduciaries," ERISA lawyer Fred Reish says.
March 10, 2021
CPAs Urge Lawmakers to Extend PPP Loan Application DeadlineBorrowers are facing urgent tax and compliance challenges, AICPA's Lisa Simpson says.
March 10, 2021
Gensler SEC Nomination to Get Senate Banking Vote TodayIf approved, Gensler's nomination will move to the full Senate.
March 09, 2021
The 10 Most-Fined Financial Services FirmsOver the past 20 years, financial firms have paid more fines than all other industries combined, according to a marketing firm.
March 09, 2021
FINRA Looks at Reg BI in Light of GameStop FrenzyFINRA will consider whether Reg BI applies to game-like features in trading apps, CEO Robert Cook told Sen. Elizabeth Warren.