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 Suspended for Making 22 Trades Without Written Consent
By Jeff BermanThe broker also falsely stated he didn't exercise discretionary trading authority in three compliance questionnaires, FINRA says.
October 19, 2021
Credit Suisse to Pay $475M in Bribery SchemeThe scheme involved transactions that raised funds to pay kickbacks to bankers and bribes to government officials in Mozambique.
October 19, 2021
SEC Would Get $74M Funding Boost Under Senate BillUnder the financial services bill, the IRS would get a more than $1.6 billion boost to go after wealthy tax cheats.
October 19, 2021
Grayscale Moves Ahead on Plans to Convert Bitcoin Trust to ETFThe NYSE has just filed with the SEC to list the Grayscale Bitcoin ETF.
October 18, 2021
The SEC Is Bringing Novel Insider-Trading CasesIt's taking an increasingly aggressive approach toward material nonpublic information, even in non-insider trading cases.
October 18, 2021
Morgan Stanley Loses FINRA Arb Case on Botched Options TradingA client alleged the wirehouse was negligent and failed to supervise when trading of Tesla options wasn't executed properly by a rep.
October 18, 2021
First Bitcoin Futures ETF Starts Trading TuesdayThe SEC's approval of the ProShares Bitcoin Strategy ETF (BICO) has opened a new chapter in crypto investing.
October 15, 2021
4 Tech Trends Transforming 401(k)sEvery aspect of the retirement industry is changing, and technology is at the core of it all, a Vestwell survey found.