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.
IRS Blesses COLI Reinsurance Deal in a New Ruling
By Allison BellThe transaction involved private placement variable life contracts.
May 01, 2020
The Litigation Risks of the Care Obligation of SEC Reg BIHere are some best practices to mitigate those risks.
May 01, 2020
FINRA COVID-19 Fraud Task Force Has Referred 50 Potential Scams to SECFINRA has hired Greg Ruppert, formerly of Schwab, to spearhead its COVID-19 fraud task force.
May 01, 2020
FINRA Slams Ex-Ameriprise Rep Who Misappropriated Client's FundsThe broker was terminated after allegedly converting more than $42,000 of an elderly client's funds for his own use.
April 30, 2020
FINRA Bars Ex-Woodbury Rep After Inquiry Based on a TipThe broker had been permitted to resign from the firm after engaging in unapproved outside business activity.
April 30, 2020
FINRA Bars Ex-Wells Fargo Rep for Not Cooperating With InquiryThe broker was being investigated for an investment-related customer complaint.
April 29, 2020
Feds to Pause Many Benefits Action Periods Till After Outbreak Period EndsThe COBRA election period will end 120 days after the COVID-19 national emergency ends, EBSA says.
April 29, 2020
FINRA Panel Awards $11.4M After First Arb Hearing via ZoomWunderlich Securities was ordered to pay Dominick & Dickerman and an exec at the investment firm.