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-Summit Rep for Altering Documents
By Jeff BermanFirm had terminated rep after he filled in missing information from clients' documents and submitted them.
March 06, 2020
Human Capital: ARA's Wielobob Details DOL, IRS Secure Act To-Do ListIn episode #10 of our podcast, we talk with Allison Wielobob, general counsel at the American Retirement Association.
March 06, 2020
FINRA Suspends Ex-Lincoln Rep Tied to Woodbridge Ponzi SchemeThe former broker engaged in outside business related to Woodbridge despite Lincoln prohibiting him from doing so.
March 06, 2020
FINRA Panel Orders Missouri Firm to Fork Over $750KA rep for the firm, Huntleigh Securities, was accused of making unsuitable investments for a client.
March 06, 2020
Heads Up! Slew of SEC Risk Alerts on Their Way, Exam Chief WarnsThese alerts will tell advisors what to expect from exams on Reg BI, use of client data and other matters.
March 06, 2020
SEC Charges 3 More Sales Agents in Woodbridge CaseCalifornia-based agents made more than $2.75 million selling Woodbridge securities in unregistered transactions, the SEC says.
March 06, 2020
FINRA's Top 5 Fine Categories in 2019The numbers indicate "a kinder and gentler FINRA — at least temporarily," Eversheds Sutherland's Brian Rubin says.
March 05, 2020
FINRA Suspends Ex-AXA Rep Over Secret SettlementThe rep was "permitted to resign" from the firm while being investigated over a customer complaint.