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.
Ameriprise Says LPL Urged Advisor to Improperly Lure Clients
By Dinah Wisenberg BrinLPL's "regular pattern and practice is to encourage recruits to violate their contractual agreements," Ameriprise alleges.
October 11, 2024
IRS Provides Tax Relief to Hurricane Milton Victims in FloridaTaxpayers in affected areas have until May to file various federal returns and make certain tax payments.
October 10, 2024
Trump Vows to End Income Taxes on Americans Living AbroadCurrently, all expats must file tax returns but those who make $126,500 or less aren't required to pay any U.S. taxes.
October 10, 2024
TD Fined $3.1B, Hit With Asset Cap Over Money LaunderingThe news follow Toronto-Dominion Bank's guilty plea over its failure to prevent money laundering by drug cartels and other criminals.
October 10, 2024
TD to Face Growth Limits, $3B Penalty for Money-Laundering Failures: WSJRegulators are likely to announce a settlement with the Canadian bank on Thursday.
October 09, 2024
XY Planning Network Marks 10th AnniversaryThe network has proven that serving younger clients is "not only viable, it's profitable," says CEO Alan Moore.
October 09, 2024
Merrill Asks Judge to Dismiss Ex-Advisor's Suit Over Deferred CompThe advisor said he forfeited $500,000 in unvested funds allocated to an award plan.
October 09, 2024
FINRA Bars Former Morgan Stanley AdvisorRobert Daly declined to provide information for a probe related to possible undisclosed private securities transactions, FINRA said.