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.
Defunct BD Sues FINRA
By Jeff BermanBlackBook Capital and its former president accuse the regulator of bias and libel.
January 06, 2020
Crypto Company, CEO to Cough Up $400,000 to Settle SEC Fraud CaseThe firm made false statements to qualify for a Reg A+ offering, the SEC said.
January 06, 2020
FINRA Hits Merrill Over Muni SalesThe firm made 105 customer transactions in a municipal security at amount lower than the minimum denomination, FINRA says.
January 03, 2020
IRS Updates Guidance on Virtual Currency DonationsWhat charitable donors and recipients should know about the tax treatment of cryptocurrency contributions.
January 03, 2020
FINRA Bars Brokers Who Wronged Elderly ClientsThe advisors then failed to cooperate with regulators' investigations into their behavior, FINRA says.
January 03, 2020
Kitces Is Confident That Lawsuits Will Squash Reg BIThe suit filed by Kitces' XY Planning Network is on track to be decided before the rule's June 30 compliance date.
January 02, 2020
SEC Asset Management Committee to Meet Jan. 14Meanwhile, comments are coming due on FINRA's plan to limit brokers as beneficiaries and pending arb claims.
December 31, 2019
TD Ameritrade Fined $250K for Options IssuesFirm allegedly mismarked some 1.5 million options orders sent to exchanges, resulting in about 500,000 mismarked orders.