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.
Stifel Must Pay Clients Over $14M in Structured Notes Case: FINRA Panel
By Dinah Wisenberg BrinThe award includes $9 million in punitive damages.
October 04, 2024
Rep Forged Signatures on Hundreds of Insurance Documents: FINRAThese documents included insurance applications, money movement forms, change of beneficiary requests and policy service requests.
October 03, 2024
IRS Direct File to Cover More States and Tax SituationsFor the 2025 tax season, the number of states will double, and Direct File will support retirement income.
October 03, 2024
Thrivent Takes Reg BI Hit Over Outdated Share Class CalculatorThe firm recommended pricier shares in two 529 plans after failing to account for a fee change, regulators said.
October 02, 2024
Protective Life CEO to Chair American Council of Life Insurers BoardRich Bielen will be 2025 chair; Thrivent's CEO will be the policy-shaping group's chair-elect.
October 02, 2024
TD Securities to Pay $28.5M to Resolve Spoofing AllegationsThe charges concern tens of billions of dollars in fraudulent trades of Treasurys, authorties said.
October 01, 2024
COVID-19 Creeps Toward Life Insurance Tax AccountingFor life insurance purposes, actuaries are assuming that the picture for some could still be gray.