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.
SEC to Shutter Salt Lake Regional Office
By Melanie WaddellThe closing of the Utah center, the agency's smallest, will reduce the number of such offices to 10.
June 03, 2024
Morgan Stanley Loses Another FINRA Fight Over Deferred CompThe order comes as the firm seeks court intervention in a saga involving deferred compensation "clawback" litigation.
June 03, 2024
Medicare Plan Pay Confusion Could Wreck 2025 Enrollment, Lawsuits WarnDistributors say they need certainty by July to make agent hiring, marketing and advertising decisions.
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.