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.
SEC Rule on Variable Annuity Summary Prospectus Is Final
By Melanie WaddellNew rule permits use of a concise, reader-friendly prospectus designed to improve investors' understanding of the contracts' features, fees and risks.
March 11, 2020
SEC Stops $39M Investment Scam by Florida AdvisorThe advisor bilked at least 30 investors in Florida and Puerto Rico, the SEC said.
March 10, 2020
FINRA Starts Reporting Data on Treasury Securities Trading VolumeMaking Treasury aggregate statistics available every week will add more transparency to the marketplace, it says.
March 10, 2020
FINRA Suspends Ex-Summit Rep for Altering DocumentsFirm had terminated rep after he filled in missing information from clients' documents and submitted them.
March 10, 2020
FINRA Suspends Ex-Morgan Stanley Rep Over Gunsmith BusinessThe rep failed to notify the firm of the "full nature" of his activity, FINRA says.
March 10, 2020
SEC, FINRA Issue Coronavirus WarningsThe SEC told Washington employees to work from home after one sought medical attention for respiratory symptoms.
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.