Various compliance consultants think advisors and clients alike would benefit if state regulators were playing from…
Tag: rule
Crypto ETFs one step closer to mainstream after SEC rule shift
The U.S. Securities and Exchange Commission is fast helping to transform digital assets into a mainstream…
Treasury Postpones Investment Advisor Anti-Money Laundering Rule to 2028
The Treasury Department is postponing its investment advisor anti-money laundering rule by two years and plans…
FSI Opposes New Jersey’s Proposed Independent Contractor Rule
The Financial Services Institute, an advocacy group for independent advisors and broker/dealers, is speaking out against…
What the CFPB Vacating the Open Banking Rule Means for Wealth Management
On May 30, the Consumer Financial Protection Bureau petitioned the U.S. District Court in Kentucky to…
IRS backs off Biden rule on partnership basis shifting
An IRS proposal to drop a Biden administration rule targeting basis-shifting strategies by complex partnerships is…
Banking groups ask SEC to drop cybersecurity incident disclosure rule
American banking and financial industry advocacy groups have petitioned the Securities and Exchange Commission to repeal…
Wall Street Brokers Face $30B Revenue Risk from ETF Rule Change
(Bloomberg) — A potential regulatory shift in favor of the ETF industry is expected to shake up the…
FINRA Says Outside Business Rule Changes Won’t Require Crypto Reporting
FINRA is pushing back on criticism of proposed changes to its rules on reps’ outside business…
Meet the 18-year-old dropout building the AI agent to rule them all
The AI-generated summary of my interview with 18-year-old startup founder Arlan Rakhmetzhanov reads like a synopsis…