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.
FINRA Files to Amend Arbitrator Hearing Procedures
By Melanie WaddellMeanwhile, the comment deadline nears on FINRA's plan to set up a roster of arbitrators to decide expungement requests
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.
January 29, 2018
39 Areas of New Tax Law Need ‘Immediate’ IRS Guidance: AICPAImmediate guidance is needed on the new tax law in areas like retirement and wealth transfer, says AICPAs Tax Executive Committee chairwoman.
January 26, 2018
2017 a Banner Year in Deregulation, Trump Reg Chief SaysAgencies shouldn't issue guidance as a back door to imposing new regulatory requirements, said OIRA head Neomi Rao.
January 26, 2018
The Evolving Role of the CCOFive major banks, including Morgan Stanley and Wells Fargo, got new compliance leaders last year. Look deeper into these changes and interesting patterns emerge.