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.
XY Planning Network Marks 10th Anniversary
By John ManganaroThe network has proven that serving younger clients is "not only viable, it's profitable," says CEO Alan Moore.
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.
October 07, 2024
Top DOL Official Sees a 'Nonsensical' Reality at Heart of Fiduciary FightThe current state of best-interest regulation is too complicated for retirement investors to understand, says Ali Khawar.
October 07, 2024
Millions of Americans Dodging Taxes on Early Retirement WithdrawalsNearly 3 million taxpayers who received $12.9 billion failed to pay the extra 10% tax, a report finds.
October 04, 2024
Rep Forged Signatures on Hundreds of Insurance Documents: FINRAThese documents included insurance applications, money movement forms, change of beneficiary requests and policy service requests.
October 03, 2024
IRS Direct File to Cover More States and Tax SituationsFor the 2025 tax season, the number of states will double, and Direct File will support retirement income.