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.
Morgan Stanley to Pay $15M Over Advisors Who Stole Millions From Clients: SEC
By Melanie WaddellThe firm failed to monitor reps' wire and externally initiated ACH transfers, the SEC said.
December 04, 2024
Crypto in 401(k)s Is Risky, Lacks Oversight: GAOSome retirement plans offer the option to invest in these assets, but Labor lacks data to measure it.
December 04, 2024
Trump Picks Paul Atkins to Head SECAtkins, CEO of Patomak Global Partners in Washington, is a former SEC commissioner.
December 04, 2024
Dissecting a GOP Senator's Misleading Social Security AttackWhile it’s fair to criticize the program’s shortcomings, stretching the truth doesn’t benefit anyone.
December 03, 2024
How to Avoid the Tax Trap of the Wash-Sale RuleTech tools can automate oversight of multiple accounts to ensure compliance while protecting investment gains.
December 03, 2024
Western Asset Management Names New CEO After SEC ProbeThe news comes after former co-CIO Ken Leech was charged with fraud.
December 02, 2024
FINRA Explains How to Amend Form U4 Under Home Office RuleA response to the Residential Supervisory Location question is required.
December 02, 2024
SEC Panel to Debate RIAs' Use of Mandatory Arb, Dangers of 'Finfluencers'The Investor Advisory Committee plans to discuss protecting young investors from bad financial advice on social media.