Tag: regulation
SEC Amends Whistleblower Rules to Incentivize Tips
The Securities and Exchange Commission has amended the rules governing its whistleblower program, which was established in 2010 under the Dodd-Frank Act.
The first rule...
SEC Proposes Big Changes to ’40 Act Fund Advisers
The Securities and Exchange Commission has proposed new rules and amendments under the Investment Advisers Act of 1940 to further regulate private fund advisers...
SEC Chairman Discusses Commitment to Regulation BI in House Committee Meeting
The House Financial Services Committee held an online hearing with Securities and Exchange Commission Chairman Gary Gensler on Tuesday where he discussed his commitment...
Schwab Executive Predicts Failure of Effort to Eliminate Step-up in Basis
President Joe Biden's proposal to eliminate the step-up in basis, a federal tax provision that provides for the adjustment of the value of an...
SEC Updates Fund Valuation Practices
The Securities and Exchange Commission plans to adopt a new rule that establishes what it claims is an updated regulatory framework for fund valuation...
SEC and FINRA to Host Online Forum on Regulation Best Interest...
The Securities and Exchange Commission has released the agenda and panelists for the October 26, 2020 roundtable where SEC staff and FINRA will discuss...
XY Planning Nixes Supreme Court Challenge of Reg BI, Plans to...
XY Planning Network (XYPN), a membership organization comprised of more than 1,300 independent fee-for-service financial advisors, will not appeal its 2nd Circuit ruling on...
SEC and FINRA to Hold Roundtable on Regulation Best Interest and...
The Securities and Exchange Commission will hold a roundtable with the Financial Industry Regulatory Authority (FINRA) to discuss initial observations on the implementation of...
Democrats Vow to Reverse SEC’s Regulation BI in Draft Party...
Without mentioning the regulation by name, Democrats took aim at Regulation BI, the Securities and Exchange Commission's broker advice rule in an early draft...
XY Planning Network Considers Further Legal Challenges to SEC’s Regulation Best...
On Friday, the Second Circuit Court of Appeals rejected a lawsuit challenging the Securities and Exchange Commission’s Regulation Best Interest, which goes into effect...
FINRA Releases Questions for SEC’s Reg BI Compliance Review
The Financial Industry Regulatory Authority has released its 2020 risk monitoring and examination priorities letter which highlights the areas of focus for its risk...
FINRA Issues Regulation Best Interest/Form CRS Checklist
The Financial Industry Regulatory Authority has issued new resources to assist financial firms in their efforts to comply with the Securities and Exchange Commission’s...
