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.
Credit Suisse Hit With $9M FINRA Fine
By Melanie WaddellThe infractions involved research reports and the Customer Protection Rule.
January 18, 2022
Is the SEC Costing Index ETF Investors Money?Investors probably don't expect SEC disclosure rules to hand some of their potential profits to other "strategic" market participants.
January 14, 2022
Ex-Broker Gets 17.5 Years in Prison for 'Masterminding' Ponzi SchemeAt least 1,000 investors were bilked out of more than $100 million over a decade, according to the Justice Department.
January 14, 2022
Merrill Wins $20M Arb Dispute Over American Airlines InvestmentsA FINRA panel ruled in favor of the wirehouse in a claim brought on behalf of a trust alleging negligence and breach of contract.
January 14, 2022
Advisor Misconduct Rises After PE Buyouts: StudyThe RIAs that are acquired actually tend to have cleaner-than-average records before the deals, researchers find.
January 14, 2022
Biden's Key DOL Pick Gomez to Get Senate VoteIf confirmed by the full Senate, ERISA attorney Lisa Gomez will be the point person on helping Labor shepherd a new fiduciary rule.
January 13, 2022
The 10 Worst IRS Problems Taxpayers FaceThe national taxpayer advocate sums up the biggest frustrations of 2021 and says she's "deeply concerned" about 2022.
January 13, 2022
FINRA Bars Ex-Primerica Rep Accused of Faking CE Completion DocumentsThe Florida Department of Financial Services suspended the ex-broker for six months over the allegations in 2020.