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 Seeks Comment on BD Blockchain Implementation
By Danielle AndrusFINRA issued a report on Wednesday examining the uses and implications of distributed ledger technology in the securities industry.
January 20, 2017
SEC Fines BlackRock and HomeStreet for Impeding Whistleblowers: EnforcementIn other enforcement news, Allergan will pay a $15 million penalty for disclosure failures during merger talks.
January 19, 2017
FINRA Names Gregory Dean as Senior VP of Government AffairsDean has worked in both houses of Congress, the federal government and the private sector.
January 19, 2017
FINRA Alerts Investors to Aggressive Call Center TacticsAs clients with smaller accounts are pushed out of advisor relationships, they may be sent to heavily sales-oriented call centers, FINRA says.
January 19, 2017
IRS Probe of Bitcoin Accounts Sparks Legal ShowdownSan Francisco digital currency company Coinbase Inc. is challenging an IRS request for information about customers.
January 19, 2017
NAFA responds to the DOL's proposed fiduciary rule exemption'No industry of this size can turn on a dime,' Chip Anderson warns.
January 19, 2017
NAFA responds to the DOL's proposed fiduciary rule exemption'No industry of this size can turn on a dime,' Chip Anderson warns.
January 19, 2017
SEC Chair White Says Goodbye ... for NowAs she leaves office, Mary Jo White tells ThinkAdvisor what her SEC has accomplished and why her successor should keep the broken windows approach.