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.
Osaic Failed to Supervise Trading in Dead Client's Account: FINRA
By Melanie WaddellThe broker-dealer, earlier known as SagePoint, was fined $250,000 for issues with this matter and another account.
November 07, 2024
SEC Enforcement Chief Doubles Down on Need for Texting CrackdownThe division considers the firm's size and regulated parts to ensure an adequate penalty, Sanjay Wadhwa said.
November 07, 2024
What's at Stake in the Ameriprise-LPL Fight Over Client DataAmeriprise accuses LPL of encouraging recruits to abscond with client data; LPL says Ameriprise aims to restrict competition.
November 07, 2024
Morgan Stanley Dealt Blow in Deferred Comp Clawback LawsuitThe new ruling could spur hundreds more advisors to file claims against the wirehouse, the plaintiffs' lawyer says.
November 06, 2024
What Trump's Win Means for Estate Tax PlanningOne tax expert from Kitces.com says it's now quite likely that the current estate tax exemption will be extended.
November 06, 2024
5 Ways Trump's Election Could Affect Life and Annuity PlayersThe climate for rollover sales standards and federal estate taxes will change.
November 06, 2024
Trump Has Proposed Nearly $8 Trillion in Tax Cuts. What Happens Now?Trump will now have to offer details of all the cuts he floated in recent months, says Greg Valliere.
November 06, 2024
Ahead of Key Tax Fight, Republicans Win Senate ControlRepublicans have said they intend to extend Trump's 2017 tax breaks and roll back regulations on energy production.