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 Bars Ex-J.P. Morgan Broker Who Allegedly Stole From Co-Worker
By Jeff BermanThe advisor was accused of making unauthorized transactions on a colleague's credit card.
December 26, 2019
FINRA Fines 5 Big Firms for 'Know Your Customer' FailuresLPL, Merrill and Morgan Stanley were among the firms.
December 26, 2019
Secure Act, Fiduciary Rules Set Up a Doozy of a Compliance YearMajor changes are afoot in the rules that govern advice-giving.
December 23, 2019
FINRA Hits Broker for Recommending Nontraded REITs, BDCs to SeniorsAdvisor violated FINRA rules in making "high-risk" investments for his elderly customers.
December 23, 2019
FINRA, Exchanges Blast Credit Suisse Over Failure to Prevent Market ManipulationThe firm was censured and fined $6.5 million.
December 20, 2019
SEC Charges Advisor Who Hosted Radio Show With FraudKeith Springer of California hid his disciplinary history and the fact that he was paid to recommend certain investments, the SEC said.
December 19, 2019
MetLife Cleans Up SEC Financial Statement ProblemsThe company is paying a $10 million penalty, but it's not admitting the SEC's findings.
December 18, 2019
What to Expect From SEC's Reg BI Exams: DriscollExam division will start probing broker-dealers on Regulation Best Interest compliance in January.