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.
7 Top SEC Exam Priorities for 2025
By Melanie WaddellIn addition to core business practices, examiners will focus on new rules, emerging tech and investor data protection.
October 18, 2024
BD Violated Reg BI With Excessive Trading That Cost Clients $1M: SECPHX Financial and a registered rep made over $400,000 in commissions and fees while clients lost money, the SEC said.
October 18, 2024
Dropped Accountant Cases May Lead to Federal Court Bars: SEC RoundupThe SEC may move away from administrative proceedings in accountant cases, according to former enforcement director Andrew Ceresney.
October 18, 2024
Clients Can Tap Their 401(k) After a Disaster. Here's What to Know.The Secure Act made significant changes with respect to disaster-related distributions from retirement accounts.
October 16, 2024
Client Sues Barred Broker Over 'Devastating' Life Insurance PlanBarred brokers selling complex life insurance plans is a growing problem, the client's lawyer says.
October 16, 2024
Ex-Ameriprise Broker Sanctioned Over Leveraged ETFsGeorge Snyder IV recommended ETFs not typically advised for retail investors, FINRA says.
October 16, 2024
Citadel Securities to Pay $1M Over CAT Reporting FailuresCitadel Securities fell short on reporting data for tens of billions of order events, FINRA says.
October 16, 2024
XYPN Unveils 'New Path to Independence' via Corporate RIA, With a TwistThe Sapphire offering differs from other corporate RIAs in key ways, co-founders Michael Kitces and Alan Moore say.