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.
Agency Unveils Individual Health Producer Comp Disclosure Program
By Allison BellAgents and brokers may have to start giving customers commission schedules Dec. 27.
September 23, 2021
Why Some Consumers Are More Vulnerable to Financial ScamsThose more likely to lose money believed that authority should not be challenged, and financial opportunities have clear winners and losers, a study found.
September 23, 2021
4 SEC Hot Buttons Advisors Should Address ImmediatelyThe agency is in a prickly mood, and may compel advisors to reimburse clients if certain disclosures aren't met.
September 22, 2021
Invesco Partners With Galaxy Digital to File for Bitcoin ETFThe Invesco Galaxy Bitcoin ETF is essentially a revision of Galaxy's earlier filing for a Bitcoin ETF.
September 22, 2021
Commonwealth Nabs Compliance Officer From DynastyAlexander Hansen has been hired as senior vice president of RIA compliance.
September 21, 2021
Barred Advisor Charged With Bilking Veterans' NonprofitBrian McQuade took $750,000 while claiming to be a registered advisor despite being barred, DOJ alleges.
September 20, 2021
FINRA Fines Ex-Merrill Rep Who Hid Felony Drug ChargesThe broker was charged with possessing more than 10 pounds of marijuana and lied about it on two U4 forms, FINRA says.
September 20, 2021
IRS Has a Tough Letter for Micro Captive OwnersOfficials say affected taxpayers are on the hook for withholding failures as well as bad deductions.