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.
Marketing Rule Among 2024 Enforcement Priorities: SEC Roundup
By Nick Morgan and Tom ZaccaroFormer SEC lawyers from five different cities present advice for those looking to stay clear of the regulator.
November 29, 2023
FINRA Fines Ex-Morgan Stanley Employee for Using Cell Phone During Series 7 ExamThe employee used his phone despite telling the proctor it was in another room, according to FINRA.
November 29, 2023
Do You Know These IRA Tax Facts? (No Peeking!)Only the tax-savviest advisors will ace this quiz.
November 29, 2023
LPL Hires Wells Fargo Wealth Exec as Chief Compliance OfficerThe firm says it's tapping Jim McHale to advance its commitment to a "strong risk management culture."
November 29, 2023
FINRA Fines TD Private Client Wealth for Email Review FailuresThe firm failed to review some employees' emails for years after they were hired, FINRA said.
November 29, 2023
Ex-Hedge Fund Boss Fights SEC at Supreme Court, Backed by Musk and CubanThe court is using George Jarkesy's case to consider stripping the SEC of a key enforcement weapon.
November 29, 2023
FINRA Bars Broker Over Reg BI ViolationsThe broker's excessive trading caused clients to lose over $2.3 million, FINRA said.
November 28, 2023
Government Shutdown Would Cause Tax Filing Nightmare, CPAs Warn IRSThe continuing resolution that's currently funding the IRS expires less than two weeks after tax season starts.