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.
Edward Jones Fined $1.1M Over Phone Records
By Dinah Wisenberg BrinThe firm failed to produce complete and accurate records in connection with 10 investigations, FINRA alleged.
December 14, 2022
Some Clients Could Get ICHRA Cash for CoverageIn New Jersey, about 23% of employers who have heard of ICHRAs have them or want them.
December 14, 2022
SEC Charges 8 in $100M 'FinTwit' Stock SchemeAccording to the complaint, the defendants posed as expert traders to amass and manipulate "legions of followers on social media."
December 13, 2022
CFP Board to Conduct First-Ever Review of Competency StandardsThe review will address CE credit for pro bono service, CE requirements and the experience requirement.
December 13, 2022
NAIC to Spotlight Annuity Sales Standard Update Gray ZonesThe list of states without updates includes Florida and Indiana as well as California and Oregon.
December 13, 2022
Annuity Issuers Need Regulatory Clarity: Scott GoldeThe Jackson compliance executive says the current jumble of rules hurts investors.
December 13, 2022
DOL: Over $1.4B for Benefits Plan Participants Recovered in Fiscal 2022Nearly $1 billion was recovered through civil investigations, the Labor Department reported.
December 13, 2022
Here Are the Wildest Parts of Bankman-Fried's SEC AllegationsThe FTX co-founder orchestrated a massive, years-long fraud, the SEC says.