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 launches retrospective review of rules
By Melanie WaddellThe regulator seeks comments on the effectiveness and efficiency of its rules on communications with the public, and on gifts, gratuities and noncash compensation.
April 08, 2014
FINRA Launches Retrospective Review of RulesFINRA is looking at rules on communications with the public and noncash compensation to see whether they are meeting their "investor protection objectives."
April 08, 2014
Stop IRA Rollovers ‘Immediately,’ Expert Warns After Tax RulingIRA expert Ed Slott urges advisors to warn their clients about the ruling, which says IRA holders are allowed only one rollover per year.
April 07, 2014
‘Brutalized’ Breakaway Brokers Speak Out: 7 Stories From the Road to IndependenceFrom pain and humiliation to a quite positive experience, seven brokers tell ThinkAdvisor their stories of breaking away.
April 04, 2014
SEC Fines Traders $3M for ‘Spoofing,’ ‘Layering’Two firms and five individuals tricked investors into buying or selling stocks through orders that were later canceled, SEC says.
April 03, 2014
SEC Enforcement: Traders Used Wives’ Information to Make Insider TradesAlso in enforcement, Transamerica Financial Advisors was fined by the SEC for improperly calculating advisory fees and overcharging clients.