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.
Digging Into IRS' Secure Act RMD Guidance
By William H. Byrnes | Robert BloinkWhile much of the new guidance is technical in nature, understanding what we don't yet know can be important to advising clients on important questions.
March 02, 2020
Advisors Sound Off on Wells Fargo's Big Inverse ETF FailureTweeted CFP Joshua Duvall: "If you can't understand it - you shouldn't be investing in it."
March 02, 2020
Regulations Will Be Biggest Shaper of Advice Industry: PollCoreData asked advisors what trends they were watching and how they planned to keep up.
February 28, 2020
FINRA Arb Panel Slams BD Over Bad Investments for Elderly ClientA Chicago firm was ordered to pay damages plus the claimant's costs.
February 28, 2020
FINRA Files Complaint Against Ex-Rep Who Didn't Testify Against BDA former LevelX Capital broker ignored regulators' repeated requests.
February 28, 2020
Barred Broker Challenges FINRA's Right to Boot Him; Legal Experts SkepticalAn ex-broker is arguing to an appeals court that FINRA doesn't have the authority to permanently bar reps.
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.