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-Broker Fined for Not Disclosing Charges of Rape, False Imprisonment
By Jeff BermanThe former broker failed to timely amend his Form U4 to disclose the charges, FINRA says.
April 08, 2021
What COBRA Subsidies in the Stimulus Package Mean for Your ClientsIt's important that both individual and small-business clients understand the new COBRA rules for 2021.
April 08, 2021
Envestnet Acquires Harvest Savings & Wealth: Tech RoundupAlso, fintech firm fabe launches a SaaS application to help advisors value their firms for a sale.
April 07, 2021
SEC's ESG Plans for Public Companies May Get Frosty Reception in CourtCourts have not looked favorably on requiring public companies to disclose information not necessary for preventing deception in investing decisions.
April 07, 2021
AdvicePay Adds Financial Plan Compliance ToolThe new tool centralizes compliance reviews of financial plan deliverables to streamline the process, AdvicePay says.
April 07, 2021
Actor Zach Avery Arrested in $690M Film-Rights ScamAvery defrauded investors out of $227 million by telling them they were buying film rights to resell to Netflix and HBO, prosecutors said.
April 06, 2021
Fidelity, Other Investment Firms Form Crypto Lobbying GroupThe Crypto Council for Innovation also includes Coinbase, Square and Paradigm.
April 06, 2021
FINRA Zooming In on Platform Outages, Suspicious Activity ReportsThe regulatory group also is looking at broker-dealer communications about digital assets in its exams, according to one executive.