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.
FINRA Floats Rule Changes on Gifts, Noncash Comp
By Melanie WaddellThe proposed changes "make sense" as some of the current rules, especially on business entertainment, are "too subjective," Cipperman Compliance Services says.
August 08, 2016
Morgan Stanley to Pay Fired Rep $2.4M, Clear His RecordFINRA arbitration panel rules the wirehouse made "defamatory statements" to clients of a Florida advisor let go in 2014.
August 08, 2016
The DOL fiduciary rule: What is fiduciary investment advice?Excerpts from Marcia Wagner's new book, "The Advisors Guide to the DOL Fiduciary Rule," published by The National Underwriter Company.
August 08, 2016
The DOL fiduciary rule: What is fiduciary investment advice?Excerpts from Marcia Wagner's new book, "The Advisors Guide to the DOL Fiduciary Rule," published by The National Underwriter Company.
August 08, 2016
FINRA Fines Deutsche Bank $12.5M Over Use of ‘Hoots’Deutsche Bank Securities failed to supervise research- and trading-related info it disseminated to employees over its squawk boxes.
August 05, 2016
FINRA Sweeps Broker-Dealers for Info on Nontraded BDCsThe exam sweep covers all member firms and advisors selling the companies between January 2015 and June 2016.
August 05, 2016
Ex-Wells Fargo Rep Must Pay Firm $1.2MFINRA says advisor Robert Loftus must cover promissory notes, interest and legal costs.
August 05, 2016
5 Common Boiler Room Scams to AvoidFINRA has received numerous complaints, particularly from seniors, of high-pressure phone sales calls urging them to buy speculative investments.