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.
3 Ways to Guard Against Tax Fraud
By Danielle AndrusTax season starts Friday, and scammers are ready to take advantage of consumers with taxes on their minds.
January 28, 2014
FINRA seeks to block deletion of investor complaints against brokersFINRA is working on a rule to bar the deletion of an investors complaint against a broker in the public records.
January 28, 2014
Regulators shine spotlight on IRA rollover suitabilityPerhaps no area has received greater scrutiny recently than the IRA rollover transaction.
January 28, 2014
Regulators shine spotlight on IRA rollover suitabilityPerhaps no area has received greater scrutiny recently than the IRA rollover transaction.
January 28, 2014
‘Improving’ FINRA Among Top Goals for BD LobbyFSI executives say the self-regulator needs greater efficiency and cost-benefit analysis in rulemaking.
January 27, 2014
FINRA’s Hot-Button Exam Issues for 2014In its annual list of hot exam items, FINRA warned broker-dealers that it would be zeroing in on a host of areas this year.
January 27, 2014
Warning on IRA Rollovers: Regulators to Scrutinize SuitabilityStay on your toes, advisors: the SEC and FINRA have issued warnings to those who advise clients looking to roll workplace 401(k)s into private IRAs.
January 27, 2014
NCOIL seeks increased roleA letter specifically requests FACI membership for the NCOIL president, and was released in light of a new Federal Register notice seeking applicants for FACI membership.