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.
TD Securities to Pay $28.5M to Resolve Spoofing Allegations
By Dinah Wisenberg BrinThe charges concern tens of billions of dollars in fraudulent trades of Treasurys, authorties said.
October 01, 2024
Here's How Much Fixing Social Security Could Cost Your ClientsAffluent couples could lose nearly $1 million in benefits if Congress doesn't act, Ron Mastrogiovanni warns.
September 30, 2024
Pre-Retirees and Retirees Prioritize Charitable Giving: SurveyRetirees tend to donate first, then volunteer, while pre-retirees do both in equal measure, Fidelity Charitable found.
September 27, 2024
Benchmarking Costs Climb as Regulators Demand More DisclosureThe SEC's marketing rule demands clear and relevant benchmarks when performance is advertised.
September 26, 2024
Fired BNY Advisor Claims Age DiscriminationThe advisor says a manager made ageist remarks and dismissed him despite his consistently strong performance.
September 26, 2024
Ex-Advisor Sues LPL, Citizens Bank & Trust Over Botched TransitionNathan Adams was punished for pursuing a job with LPL, which botched a background check, the complaint alleges.
September 26, 2024
Sen. Warren Lists 29 Life, Health and Annuity Sales IncentivesShe doesn't like the incentives, but you might.
September 25, 2024
Mystified by the Social Security Administration? Here's an Inside LookFrom headlines about the Social Security program's funding to questions about disability benefit delays, there's much to unpack.