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.
Advisor Group BDs Hit With $1.3M FINRA Penalty
By Melanie WaddellThe firm's BDs "negligently failed" to tell investors that GPB Capital didn't "timely make" required SEC filings tied to private placements.
December 05, 2022
Quiz: Do You Know These Annuity Tax Facts?Only the tax-savviest can ace this test, but all advisors can benefit from the refresher.
December 05, 2022
SEC Risk Alert Highlights Firms' Identity Theft FailuresThe agency found violations that could leave customers vulnerable to identity theft and financial loss.
December 02, 2022
Ex-LPL Rep Charged With Stealing $1.3M From Client With DementiaBradley Goodbred was arrested and charged with 23 felonies.
December 02, 2022
4 Retirement Planning Moves That Can Yield Big Tax SavingsMany investors underestimate the impact their retirement account withdrawal decisions have on their wealth, Ritholtz's William Sweet says.
December 02, 2022
Advisors Could 'Skirt the Rules' Under FINRA Home Office Plan: PIABAPIABA is again asking the SEC to reject FINRA's proposal to home offices as non-branch locations.
December 01, 2022
Barred Broker Ordered to Pay $5.7M Over Cancer Treatment SchemeA three-member FINRA arb panel ruled against the former broker.
December 01, 2022
401(k) Plans Are Coming for Your RolloversThe growth of income annuities within 401(k)s could result in more retiring workers leaving their assets in-plan.