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 Arb Panel Slams BD Over Bad Investments for Elderly Client
By Jeff BermanA Chicago firm was ordered to pay damages plus the claimant's costs.
February 28, 2020
Series Trusts Are in SEC's Exam CrosshairsWeak board oversight and flimsy compliance have tarnished the reputations of several series trust and fund managers.
February 27, 2020
Ex-Merrill Rep Stole $1.7M to Pay Off His Credit Cards: SECMore than 200 illegal transfers were made from three wealthy clients' accounts to pay for credit card purchases, the SEC says.
February 27, 2020
SEC Delivers Blow to Steven Seagal's Crypto PromosThe regulator fined the actor for failing to disclose that he was paid to promote an ICO.
February 26, 2020
Investors Need More Info From IRS on 'Unconventional' IRA Investments: GAOAssets like real estate and digital currency in IRAs can be subject to complex rules, GAO says.
February 26, 2020
FINRA Sanctions Rep for Messaging Clients on WhatsAppThe Aegis Capital broker conducted securities-related business with the unapproved app, FINRA says.
February 26, 2020
IRS Extends 'Popular' Tax ProvisionsAbove-the-line qualified tuition and related expenses and mortgage insurance premiums are among the provisions.
February 25, 2020
SEC Releases Updated List of Fake Regulators, Deceptive FirmsThe latest list adds four fictitious regulators and 25 soliciting entities making false claims.