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.
Ex-LPL Rep Pleads Guilty to Witness Tampering, Fraud
By Jeff BermanThe barred broker pleaded guilty to fraud and identity theft last year but scrapped the plea deal.
September 08, 2022
Private Equity Firms Face Life Insurer Safety Questions at Senate HearingRepublicans backed private firm owners of life insurers; Democrats had questions for regulators.
September 08, 2022
GOP Lawmakers Probe FINRA Chief on Complex Products PlanLawmakers expressed concern that FINRA was seeking a "backdoor accredited investor standard" on certain securities.
September 08, 2022
SEC Chief Renews Vow to Crack Down on Crypto Industry Rule-BreakersCrypto investors deserve the same protections as investors in other securities, Gary Gensler said.
September 08, 2022
SEC Strikes Again on 12b-1 Fees, Fining Another RIAAventura Capital Management must pay more than $900,000 for 12b-1 fee and revenue sharing infractions.
September 07, 2022
Texas Judge Says HIV Drug Mandate Violates Religious FreedomThe judge also ruled that the panel managing the ACA preventive measures list is violating the Constitution.
September 07, 2022
Oppenheimer Fights $37M Arb Ruling Tied to Ponzi SchemeA FINRA panel said the BD must pay damages to investors allegedly bilked in a scheme run by a former rep.
September 07, 2022
Plan Sponsors Should 'Exercise Caution' Before Adding Crypto: Wendy Von WaldVon Wald helps plan fiduciaries get insured, and minimize the odds that they'll need the insurance.