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.
5 Ways FINRA Will Spend Its Money This Year
By Melanie WaddellThe regulator projects a 5% decline in revenue this year on declining corporate filings and trading volume.
May 09, 2022
Bill to Fund States' Anti-Fraud Efforts Up For House VoteUnder the bill, the SEC would implement a grant program to help states protect older investors.
May 06, 2022
Debate: Did the IRS Get It Right on Secure Act RMD Rules?Two professors share their opinions on the IRS' surprising interpretation.
May 06, 2022
UBS Must Pay Clients $3.9M Over YES Options StrategyA FINRA arbitration panel ruled against the wirehouse in another dispute over its Yield Enhancement Strategy.
May 06, 2022
Edelman, Nadig Say FINRA Complex Product Ideas Are 'Unworkable,' TerrifyingFINRA's potential definition of complex products is so broad it could include target date funds, Dave Nadig says.
May 05, 2022
Barred Broker Gets Over 9 Years in Prison for $100M Ponzi SchemeThe former broker was convicted of bilking more than 40 investors.
May 05, 2022
Sen. Warren Presses Fidelity on Bitcoin 401(k) Move"Investing in cryptocurrencies is a risky and speculative gamble," Sens. Warren and Smith told Fidelity CEO Abigail Johnson.
May 04, 2022
FINRA Wants to Make It Harder for Brokers to Clear Their RecordsFINRA found its arbitrators granted 78% of requests for expungement, which is supposed to be an "extraordinary" remedy.