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.
Fed Seeks Life Insurance Experts for Advisory Panel
By Allison BellCurrent members of the 21-seat committee include executives from companies like Equitable and Prudential.
August 08, 2023
Former LPL, Raymond James Reps Slammed by FINRA for Falsifying DocumentsTwo ex-reps forged clients' signatures, and one provided falsified checks and bank statements to regulators, FINRA said.
August 08, 2023
New IRS Crypto Ruling Can Save Your Clients MoneySome clients with income from crypto staking may have paid taxes prematurely.
August 08, 2023
Wall Street's New WhatsApp Fines Take Tab Past $2.5BThe penalties are tied Wells Fargo and other banks' use of unofficial communication tools to conduct business.
August 08, 2023
FINRA Lists Ric Edelman's Digital Asset Certificate as Professional DesignationFinancial professionals who complete the 15-credit course can now display the CBDA credential.
August 08, 2023
Wells Fargo to Pay $125M in WhatsApp CrackdownIn total, 11 firms agreed to pay penalties of $289 million to the Securities and Exchange Commission.
August 07, 2023
The SEC's New AI Plan Expands Reg BI — and MoreIndustry attorneys say the plan would impose potentially burdensome conflict-of-interest requirements on BDs and advisors.
August 07, 2023
Beware, the SEC Is Coming for You!The current administration seems to believe advisors get paid too much for doing too little; the industry must push back.