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.
Here's Why to Go With an Outsourced Compliance Pro
By Sander J. ResslerSmall to midsize advisory firms can run into trouble, even having to close shop, due to compliance issues.
November 26, 2019
SEC Charges a Top Sales Agent in Woodbridge CaseBrett Pittsenbargar raised more than $18 million selling Woodbridge securities in unregistered transactions, the SEC says.
November 22, 2019
11 Nifty Holiday Gifts for Clients Under $100 (Sorry, FINRA)Advisors can buy these gifts to make an impression on your clients without running afoul of FINRA's gifting limit.
November 22, 2019
IRS Issues Final Regs on Gift and Estate Tax ExclusionLarge gifts made between 2018 and 2025 will not lose the tax benefit of the higher exclusion level once it decreases after 2025.
November 22, 2019
FINRA Suspends Ex-NYLife Securities Broker After Flurry of LiesThe rep made false statements to the firm on multiple questionnaires concerning private securities transactions, FINRA says.
November 22, 2019
DOL Continues Aggressive Enforcement Pace in 2019The benefit's unit's activity reflects "nearly $1 billion more in recoveries than 2018," an ERISA attorney says.
November 22, 2019
FINRA Bars Ex-Commonwealth Rep Accused of FraudThe former broker was accused of forgery and wrongful taking of property.
November 21, 2019
FINRA Censures NYLife Securities Over 'Higher-Risk' Fund SalesThe firm has also been slapped with a $250,000 fine.