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 Seeks Option to Move Some Arbitration Claims to Court
By Melanie WaddellThe plan would also allow investors to withdraw an arbitration claim if the broker or firm becomes inactive or bankrupt.
November 26, 2019
Here's Why to Go With an Outsourced Compliance ProSmall to midsize advisory firms can run into trouble, even having to close shop, due to compliance issues.
November 26, 2019
SEC's Avakian Details Next 12b-1 Fee CrackdownThe Enforcement Division is focused on advisor disclosures and conflicts associated with bank deposit sweep programs.
November 26, 2019
A Broker Impersonated His Client … Twice. It Didn't Go Well.The client wanted his annuity withdrawals reduced and told the broker to "get it done."
November 26, 2019
SEC Charges a Top Sales Agent in Woodbridge CaseBrett Pittsenbargar raised more than $18 million selling Woodbridge securities in unregistered transactions, the SEC says.
November 22, 2019
11 Nifty Holiday Gifts for Clients Under $100 (Sorry, FINRA)Advisors can buy these gifts to make an impression on your clients without running afoul of FINRA's gifting limit.
November 22, 2019
IRS Issues Final Regs on Gift and Estate Tax ExclusionLarge gifts made between 2018 and 2025 will not lose the tax benefit of the higher exclusion level once it decreases after 2025.
November 22, 2019
FINRA Suspends Ex-NYLife Securities Broker After Flurry of LiesThe rep made false statements to the firm on multiple questionnaires concerning private securities transactions, FINRA says.