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.
Human Capital: Investor Advocate Barbara Roper Doesn't Mince Words on SEC Rules
By Melanie Waddell Melanie WaddellIn Episode #5 of our Human Capital podcast, Roper tells what she thinks is wrong with Reg BI.
December 03, 2019
Wife Took Out Husband's IRA Money, His Broker Was Kicked Out of JobFINRA suspends broker for "unauthorized transactions" after Morgan Stanley terminated him.
December 03, 2019
SEC's FAQ on Form CRS Draws Advisor ComplaintsRIAs and BDs are only allowed to prepare one Form CRS to explain multiple products and services.
December 02, 2019
SEC Names Littman to Head Cyber UnitLittman, who's served as senior advisor to SEC Chairman Jay Clayton since August 2017, succeeds Robert Cohen.
December 02, 2019
IRS Slashes Insurers' 2019 ACA Coverage Reporting BurdenEmployers may have to send out about as many 1095-C forms as they did for 2018.
November 27, 2019
FINRA Seeks Option to Move Some Arbitration Claims to CourtThe plan would also allow investors to withdraw an arbitration claim if the broker or firm becomes inactive or bankrupt.
November 27, 2019
SEC Revokes New York Advisor's Registration Over Fake-Loan SchemeInternational Investment Group made $60 million in fake loan sales and hid losses in its flagship hedge fund, SEC says.
November 26, 2019
FINRA Bars Ex-LPL Broker Over Outside Business ActivitiesThe rep provided an elderly client bill-paying services for a fee, according to FINRA.