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.
Citi Ordered to Pay Ex-Broker $1.4M in Gender Discrimination Case
By Jeff BermanA FINRA arb panel ruled in favor of a former broker who sued Citigroup, claiming discrimination and retaliation.
June 23, 2022
FINRA Says National Securities Corp. Must Pay $9MThe fines, disgorgement and restitution are due to misconduct tied to 10 public offerings and other violations.
June 23, 2022
How to Avoid Trouble With Ethics Codes, Nonpublic InformationThe SEC warned advisory firms on potential ethics violations and insider trading problems.
June 23, 2022
SEC to Propose New Rules for Online Brokers' Game-Like FeaturesThe rule plan, announced this week, could pose significant challenges for online brokerages and advisors.
June 22, 2022
Meet the LUMINARIES Class of 2022 FinalistsNow in its second year, the recognition program spotlights firms and individuals who excel in four categories.
June 22, 2022
New DOL Fiduciary Rule Pushed to DecemberThe Biden administration may be running out of time, a consumer advocate says, but a rule could come out this year.
June 21, 2022
FINRA Releases Restricted Firm Compliance ToolBDs can use the tool to determine whether they meet the preliminary criteria to be designated as a restricted firm.
June 21, 2022
Senate Retirement Bill Could Include LTCI Premium ProvisionAn amendment could let taxpayers use tax-exempt retirement plan distributions to pay LTCI premiums.