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.
FINRA Slaps Cadaret Grant With $200K Fine Over Ex-Rep's 'Ponzi Scheme'
By Jeff BermanThe broker-dealer "failed to reasonably supervise" a broker's many undisclosed securities transactions, the regulator says.
July 02, 2020
How Supreme Court Ruling on Disgorgement Will Affect AdvisorsThe recent decision in Liu v. SEC should have a modest impact on how the disgorgement remedy operates in the investment advisor space.
July 01, 2020
FINRA Suspends Ex-Cetera Rep Over Unauthorized Trucking InvestmentThe broker violated FINRA rules by participating in a $30,000 private securities investment without notifying the firm.
July 01, 2020
FINRA: Broker Broke Into Former Firm's Office for FilesThe rep has not updated his Form U4 to disclose a related criminal charge, FINRA says.
July 01, 2020
FINRA Plans Fee Hikes for 2022 and BeyondThe fee increases will be phased in over several years, the regulator says.
July 01, 2020
Lawyers: GPB Capital Scam Bilked Investors Out of $1.8BThe law firm also filed a FINRA arb claim against SagePoint Financial on behalf of a client who invested in a GPB portfolio.
June 30, 2020
FINRA Elects Murray as Board ChairEileen Murray, former co-CEO of Bridgewater Associates, has held senior posts at Morgan Stanley and other firms.
June 30, 2020
7 Things to Know About the New DOL Annuity Sales Standard ProposalThe proposed standard could turn IMOs, FMOs and BGAs into the Impartial Conduct Standards cops.