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.
Senate Panel to Probe SEC, CFTC Role in Virtual Currency Oversight
By Melanie WaddellMarket regulators are reassessing whether their approach is appropriate for cryptocurrency markets.
January 31, 2018
FINRA Files to Amend Arbitrator Hearing ProceduresMeanwhile, the comment deadline nears on FINRA's plan to set up a roster of arbitrators to decide expungement requests
January 30, 2018
Bob Rodriguez Disses Trump’s Tax Cuts, Sees ‘Dark Times’ AheadThe legendary money manager tells ThinkAdvisor why he dislikes the tax overhaul and what he sees as the biggest threat to the market.
January 30, 2018
SEC Halts ICO Scam Endorsed by Evander HolyfieldAriseBank targeted retail investors to fund what it claimed to be the worlds first "decentralized bank."
January 29, 2018
FINRA Issues Roadmap on New Year PrioritiesBroker-dealers started the new year with a roadmap from the Financial Industry Regulatory Authority on what to expect during exams, as well as new rules that theyll be expected to comply with this year.
January 29, 2018
Updates on Bitcoin, Texting, Growth Plans, Regulation & MoreAs investment gurus like Jeremy Grantham warn of a true, crazy mini-bubble in the Bitcoin market, the wirehouse firms are telling advisors and investors that products related to this cryptocurrency are not being sold on their platforms.
January 29, 2018
Path to SEC Fiduciary Rule Strewn With BumpsA future that includes an SEC, DOL and state fiduciary rules is laden with potential compliance challenges.
January 29, 2018
When It Comes to Bitcoin, Be Careful Out ThereCryptocurrencies 'lack many important characteristics of traditional currencies,' says one regulator.