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.
Fiduciary Rule Questions Linger as Trump Picks Scalia to Head Labor
By Melanie WaddellIndustry attorneys weigh in on the likelihood of a DOL fiduciary rule being issued this year.
August 20, 2019
5 Notes About the SEC's New Indexed Annuity BulletinOne key point is that even your regulators may be hazy about what exactly it is that you sell.
August 19, 2019
IRS Posts Charitable Lead Annuity Trust Letter RulingThe case deals with a CLAT set up so that the annuity benefits term depends on the initial value of the trust assets.
August 19, 2019
ProEquities' Flint, M.E. Allison & Co.'s Murphy Elected to FINRA BoardFSI was "proud to endorse" Flint as large firm governor, said Dale Brown.
August 19, 2019
Cantor Fitzgerald, BMO Capital Hit by SEC for Improper Handling of ADRsThe SEC orders find that both Cantor and BMO improperly obtained pre-released ADRs indirectly from other broker-dealers.
August 19, 2019
FINRA Reminds BDs of Municipal Client DutiesFINRA exams have found BDs engaged in investment-related activities with municipal clients without registering as muni advisors.
August 16, 2019
Advisor Charged With Fraud for Investing Client Money in Turkish ScamThe advisor told clients that a woman in Turkey would let him manage a multimillion-dollar estate if he sent her money for legal fees, the SEC said.
August 15, 2019
NJ Broker Found Guilty of Insider TradingJurors found Raymond Pirrello Jr. liable on all five claims.