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.
RIA Wins $347K Arb Award From Schwab
By Jeff BermanLaguna Financial Group and its owner argued that the custodial firm assisted a rival.
August 05, 2019
IRS' National Taxpayer Advocate RetiresNina Olson was the force behind the agency's Taxpayer Bill of Rights.
August 01, 2019
Ohio National Fighting to Avoid FINRA ArbitrationThe insurer faces a new lawsuit filed by Kestra Financial's parent firm over its decision to stop paying advisors certain annuity commissions.
July 31, 2019
Wall Street's Top Watchdog Seeks Help to Muzzle a Mystery TrollThe reputation consultant's duties will include monitoring content about the SEC's vaunted enforcement division on the web and removing anything that's "false or harmful."
July 30, 2019
CFP Board Announces Big Enforcement ChangesThe Board will no longer solely rely on self-disclosure by CFP professionals.
July 29, 2019
CFP Board Website Omits Complaints, Reg and Criminal History: ReportReacting to the Wall Street Journal's analysis, the organization says it is "addressing issues" raised in the report but disputes some conclusions.
July 29, 2019
FINRA Fines Citigroup for Inadequate Background ChecksThe firm failed to conduct proper checks on 10,400 non-registered persons and failed to fingerprint 520 of them, FINRA says.
July 26, 2019
SEC's Regulation Best Interest: A BreakdownAn attorney takes a look at what is expected of advisors under the new rule.