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.
SEC Warns Advisors on Ad Rule Compliance
By Melanie WaddellUntil firms transition to the amended marketing rule, advisors "need to remain compliant with the previous advertising and cash solicitation rules," said attorney Lundy.
March 23, 2021
Ex-Wife of Advisor Hunted By FBI Tells Him to Give UpThe Atlanta-area advisor went missing in September. "I had no idea who I was living with," his ex-wife says.
March 23, 2021
How Advisory Firms Can Avoid Discrimination and Retaliation ClaimsThe number of lawsuits has risen annually over the past decade. It's best to train your team to follow the law.
March 23, 2021
New Agenda Takes Hold in WashingtonNew leaders, along with new regulations and exam priorities, give advisors and broker-dealers a lot to review.
March 22, 2021
Senate Confirms Walsh as Labor SecretaryWith Walsh's confirmation, the Senate has now confirmed all 15 of President Joe Biden's cabinet secretaries.
March 22, 2021
FINRA Fines Ex-JPMorgan Broker Who Split Trades to Boost CommissionsThe broker broke 1,106 orders into more than more than 7,500 smaller trades, according to FINRA.
March 22, 2021
Can the IRS Rein In Wealthy Tax Cheats? Ed Slott Is SkepticalThe IRS commissioner recently pledged a crackdown, but Slott says that the agency is outgunned and that its efforts could ensnare lower earners.
March 19, 2021
Human Capital: Susan Schroeder Says Reg BI Enforcement Actions LoomThe ex-FINRA enforcement chief also weighs in on what Gary Gensler's likely arrival at the SEC means for Reg BI.