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.
HHS to Let Agents Reject Gay Medicare and Exchange Plan Prospects
By Allison BellNew final regulations will also let insurers, doctors and hospitals deny service to LGBT people.
June 12, 2020
Kitces: How Your Web Presence Helps Convert Referrals to ClientsClients referred to an RIA are going to look that advisor up online, so they better like what they find, he says.
June 12, 2020
FINRA Bars Ex-J.P. Morgan Rep for Taking Money From Clients' Bank AccountsThe former broker admitted to withdrawing $144,000 from 3 customers, two over 90 years old, for his personal use, FINRA says.
June 12, 2020
Advisor Group's SagePoint to Pay $1.6M Over UIT RolloversThe SagePoint news comes two weeks after Stifel agreed to pay $3.6 million for similar violations.
June 10, 2020
FINRA Bars Ex-Signator Rep Tied to Woodbridge Ponzi SchemeThe former broker allegedly engaged in more than $1.77 million worth of undisclosed and unapproved transactions.
June 10, 2020
IRS Hopes to Create New Way to Pay for Routine CareWorkers could use cash from ordinary HRAs to pay for direct primary care memberships.
June 09, 2020
Trader Made False COVID-19 Blood Test Claims in Pump-and-Dump Scheme: SEC"We allege that Nielsen engaged in multiple forms of deception to exploit investors amidst the COVID-19 pandemic," the regulator said.
June 09, 2020
FINRA Mulls Rules on Exam CheatingFINRA's recent exam sweep of firms that are not charging commissions for trades will also be discussed.