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.
SEC Busts Variable Annuity Scam Targeting Terminally Ill
By Melanie WaddellBrokers and an advisory firm used variable annuities with death benefits to cash in on patients' demise, SEC says.
March 12, 2014
FINRA Fines Triad, Securities America $1.2MSupervisory failures at the two Ladenburg Thalmann-owned IBDs led to customer reports that had false information and concealed misconduct, FINRA says.
March 11, 2014
IBD Regulation: Broken Windows, Broken SystemWeve already seen the impact of the broken window approach, with minor offenses treated as major offenses and major ones as potential career enders.
March 11, 2014
6 Bitcoin Risks for Investors: FINRAFINRA on Tuesday warned investors of the top six reasons why buying and using a digital currency such as bitcoin can be risky.
March 11, 2014
DOL Moving Forward on Fiduciary Redraft: PerezLabor Secretary Thomas Perez said to expect a redraft "in the coming months" while announcing a plan to require 401(k) fee disclosure guides.
March 10, 2014
SEC to Muni Violators: Self-Report, or Face Tougher SanctionsThe SEC on Monday encouraged issuers and underwriters of municipal securities to self-report violations under a new continuing disclosure initiative.
March 08, 2014
PIABA: FINRA withholding critical 'red flag' informationIt's time to release FINRA and state disclosures to the public, according to a recent study by PIABA, which cites FINRAs BrokerCheck as deleting critical information for investors.
March 08, 2014
PIABA: FINRA withholding critical 'red flag' informationIt's time to release FINRA and state disclosures to the public, according to a recent study by PIABA, which cites FINRAs BrokerCheck as deleting critical information for investors.