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.
FinCEN Wants You to Help Fight Foreign Kleptocrats
By Allison BellThe reporting rules include individual annuity and individual permanent life transactions.
April 15, 2022
Debate: Are the New RMD Regs for Successor Beneficiaries Too Complex?Two professors discuss the challenge and practicality of proposed rules on when these beneficiaries must empty IRAs.
April 14, 2022
Ex-Head of RIA Sentenced to 12 Years in Prison Over $120M ScamThe former IIG managing partner and CIO was also sentenced to three years of supervised release.
April 14, 2022
FINRA Bars Ex-Edward Jones Rep Who Bought Gold on Behalf of ClientFINRA also suspended another ex-rep of the firm who was terminated over alleged excessive, unreasonable business expenses.
April 14, 2022
FINRA Releases FAQ on Restricted Firm RuleThe first "early indicator calculations" of firms that qualify as restricted will be available in early June, FINRA said.
April 13, 2022
Ex-Morgan Stanley Rep Inflated Clients' Net Worth, FINRA SaysThe rep circumvented limits on non-investment grade bonds, leading to his firing and suspension, according to FINRA.
April 13, 2022
Money Management Is Out, Personalization and Planning Are In: Fidelity ExecMichael Durbin of Fidelity Institutional discussed some findings on how clients would like advisors to spend their time.
April 13, 2022
7 Tax Refund Myths, Busted: IRSDon't let your clients fall for these myths that may be circulating on social media.