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.
How Advisory Firms Can Avoid Discrimination and Retaliation Claims
By Steven F. GoldmanThe number of lawsuits has risen annually over the past decade. It's best to train your team to follow the law.
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.
March 19, 2021
Fed to End COVID-19 Capital Break It Gave Wall Street BanksThe break lets banks load up on Treasurys and deposits without the capital to protect against losses and ends March 31.
March 19, 2021
Former New York Life Broker Convicted of Stealing $1M From Elderly ClientA federal jury convicted the ex-broker on 11 counts of mail fraud, 11 counts of wire fraud and two counts of aggravated identity theft.
March 19, 2021
FINRA's Top 5 Fine Categories in 2020Overall, FINRA reported $57 million in fines in 2020, a 43% increase from 2019.
March 19, 2021
Senate Sets Monday Vote on Walsh DOL NominationThe Senate's Monday docket does not mention a vote on Gary Gensler to be SEC chairman.