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.
900 Individuals Returned to Industry Using FINRA Continuing Ed Program
By Melanie WaddellThe Maintaining Qualifications Program is open for enrollment until Dec. 31.
October 03, 2023
FINRA Fines Former LPL Rep for Faking 30 Clients' SignaturesThe regulator also suspended the former broker for four months.
October 03, 2023
Expelled New York BD to Pay $235K for Reg BI ViolationsSW Financial recommended a risky strategy that lost money while reps collected $660,000 in commissions, the SEC said.
October 02, 2023
New IRS Guidance Provides Money Market Fund Wash Sale ReliefThe guidance lets investors avoid "significant unwarranted tax reporting complexities" from a new SEC rule, a lawyer says.
October 02, 2023
Chase Bank Customers Report Account Glitches, AgainChase customers reported account issues, including trouble with debit card transactions.
October 02, 2023
Fidelity Fined $1.7M for Lax Approval of Options TradersFINRA and the Massachusetts Securities Division fined Fidelity for "rubber-stamping" options trading applications.
September 29, 2023
SEC Proposes Tightening RILA RegistrationThe complex index-linked products would use an updated form aligned more closely with their characteristics.
September 29, 2023
FINRA Suspends Ex-Ameriprise Rep Over DUI ConvictionThe former broker failed to disclose the felony conviction for nearly five years, FINRA said.