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 Suspends Ex-Wells Fargo Rep Who Borrowed $16K From Client
By Jeff BermanThe broker then falsely claimed he did not engage in any such arrangement, the regulator says.
May 22, 2020
IRS Adds a Little Give to HSA LimitsMinimum individual and family deductibles are staying the same.
May 22, 2020
Bill Would Require SEC to Create New Annuities FormCurrent rules for registering index-linked annuities deter innovation and create barriers to entry, says a trade group.
May 22, 2020
Film Distributor 'Raided Millions' From BlackRock Trust: SECFounder of Aviron Pictures used close to $14 million on a luxury car and mansion in Beverly Hills.
May 22, 2020
SEC Takes Action to Stop Ponzi Scheme Selling 'Annuities'Since the COVID-19 stay-at-home orders, the advisor has continued to solicit investors, the SEC says.
May 21, 2020
FINRA Bars Ex-Wells Fargo Rep Fired for 'Unprofessional Conduct'Broker then refused to appear for on-the-record testimony, regulator says.
May 21, 2020
FINRA Suspends Ex-Merrill Rep Over Pro Video Game TeamThe advisor "realizes he made a mistake" and "appreciates FINRA's fairness," his lawyer says.
May 21, 2020
Pandemic Shows Business Needs Less Regulation and More OversightWhat's the difference? Let's take a look at the SEC and FINRA.