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.
IRS Provides Tax Relief to Hurricane Milton Victims in Florida
By John ManganaroTaxpayers in affected areas have until May to file various federal returns and make certain tax payments.
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.
October 08, 2024
FINRA Bars Ex-Rep Ousted for Outside Business ActivityA former New York Life Securities rep charged fees for outside services that he failed to disclose.
October 08, 2024
UBS Accuses Ex-Advisor of 'Brazen' Attempts to Take ClientsDouglas Frew denies allegations he went to one client's home and called another 10 times.
October 07, 2024
Stifel Must Pay Clients Over $14M in Structured Notes Case: FINRA PanelThe award includes $9 million in punitive damages.