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.
Morgan Stanley Rep Fined for Making Unauthorized Trades, Texting Client
By Melanie WaddellThe firm has agreed to pay more than $15 million in arbitration cases tied to the rep's conduct.
July 25, 2024
It's Time for a Reg BI Crackdown at SEC: Ex-CommissionerThe rule is falling short of its goal and Form CRS is "bad," former SEC Commissioner Robert Jackson says.
July 24, 2024
8 Fast-Growing Expenses for Retirees, RankedAll Americans are confronting inflation, but seniors have faced a particularly pernicious price crunch since 2010.
July 24, 2024
MarketCounsel Announces 2024 Summit PlansThe RIA-focused event, led by Brian Hamburger, takes place in December in Las Vegas.
July 24, 2024
741 BDs Opt In to FINRA Home Office InspectionsOpt-ins are highest among large firm and represent 22% of the industry, FINRA says.
July 24, 2024
New RMD Regs Back Annuity-Based Stretch IRAs, Advisor SaysThe tax code shows that SPIAs can offset the loss of the old school stretch IRA, Gary Mettler contends.
July 23, 2024
Trump Floated Jamie Dimon for Treasury Secretary, Then Denies ItThe former president also denied that he was considering BlackRock CEO Larry Fink for the role.
July 23, 2024
Wells Fargo Profiled Customers, Fired Banker AllegesThe bank retaliated, Thomas Davis claims, after he reported that managers wanted prospects assessed by race and appearance.