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.
Ex-Long Island Broker Pleads Guilty in $147M Stock Manipulation Scam
By Jeff BermanOne of 16 defendants in the case admits guilt on several counts.
January 27, 2020
IRS Issues Guidance Amid Secure Act RMD ConfusionSome financial institutions sent incorrect notices about RMDs. Here's what to tell your clients, according to Ed Slott.
January 24, 2020
FINRA Sanctions 3 Reps Accused of Falsifying DocumentsOne broker allegedly falsified signatures of clients, another faked his estranged wife's signature.
January 24, 2020
Human Capital: ACA's Di Florio on How Tech Is Crucial Tool in Regulators' ArsenalIn episode #7 of our Human Capital podcast, ThinkAdvisor talks with Carlo di Florio, global chief services officer for ACA Compliance Group.
January 24, 2020
California Couple Busted in $910M Ponzi SchemeThe scheme involved alternative energy tax credits; the couple bought 150 cars with some of the cash.
January 24, 2020
New Year Brings Renewed Fiduciary BattleThe SEC best-interest rule faces its day in court as release of Labor's fiduciary rule is imminent.
January 24, 2020
Ron Carson Wins Expungement of $20K Client ComplaintThe client complained about mutual fund charges; the arbitrator agreed with Carson's lawyer that she had no case.
January 24, 2020
IRS to Fraternals: If You Want a Tax Break, Get Some RegaliaThe IRS also wants fraternals to have lodges, and rituals.