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.
Barclays to Pay Nearly $1.3M Over Fingerprint Failures
By Melanie WaddellBarclays did not fingerprint any of its non-registered associated persons based in foreign locations, FINRA said.
August 21, 2024
Ex-Broker Barred After Refusing to Respond to FINRA ProbeCambridge Investment Research dismissed Gregory Corrie last year, alleging excessive use of unit investment trusts.
August 20, 2024
Risks Are Piling Up for Firms' Cash Sweep Programs: ReportThe uptick in litigation and regulatory activities could entail higher costs, which might hurt advisor recruiting deals, an expert says.
August 19, 2024
Social Security Claiming: The Case of a Couple's Many ChoicesIt's essential for spouses with large differences in age and earnings, for instance, to coordinate their claiming choices carefully.
August 19, 2024
FINRA Bars Ex-Broker Probed Over Mutual Fund SuggestionsMichael Grande failed to respond to two requests for information and didn't seek extra time to respond, FINRA says.
August 19, 2024
Icahn Reaches $2M SEC Settlement After Margin Loans ProbeThe investigation started after a report by short-seller Hindenburg Research sent shares in Icahn's investment firm tanking.
August 16, 2024
IRS Teams With States and Tax Industry to Fight ScamsThe Coalition Against Scam and Scheme Treats aims to quickly alert the public to new and emerging threats.
August 16, 2024
American Portfolios Agrees to $225K FINRA FineThe firm failed to flag a client's deposit and liquidation of 330,000 shares on one day, for instance.