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 Bribery Woes Spread to Florida as New Allegations Surface
By Tom Schoenberg & Christine DobbyA now ex-bank branch worker near Miami allegedly took a series of $200 bribes to help clients move millions to Colombia.
May 31, 2024
Will an Ex-Fidelity Advisor's Reg BI Suit Catch the SEC's Eye?The case could have implications for the broader financial services industry, lawyers say.
May 31, 2024
Leaders Need 'Micro-Knowledge' to Achieve Big Goals"Dig in and spend time with your teams," advises Jackson's Scott Golde, Luminaries winner for executive leadership.
May 31, 2024
FINRA's New Home Office Rules Are Causing Headaches for BDsRegulatory attorney Russell Sacks chronicles the compliance challenges as the residential supervisory location rule takes effect.
May 30, 2024
Here's What Makes a Rep High Risk: FINRAThere are several warning signs and ever-evolving methods of spotting them, according to FINRA officials.
May 29, 2024
FINRA Fines Thrivent $325K Over Forged E-SignaturesAt least 15 Thrivent reps electronically signed customer names on over 260 documents since 2017, FINRA says.
May 28, 2024
3 Big Gaps in the DOL's Case for Its New Fiduciary RegsEven with the best data the department can find, many of the potential benefits or harms are unknowable.
May 28, 2024
Social Security Claiming: The Case of the Widowed Late BoomerCarl's wife died with a substantial earnings history. When should he claim his benefits?