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.
FINRA Bars Ex-Northwestern Mutual Rep for Taking Loan From a Client
By Melanie WaddellDaniel Schmid violated firm policies by borrowing $25,000 from a customer for a business venture, an order states.
September 03, 2026
Pontera Expands Platform to Support Non-Discretionary Retirement AdviceThe announcement comes amid an ongoing dispute over held-away account access.
September 03, 2026
New Bill Requires SEC to Create Life Insurance, Annuity Registration FormsThe CLEAR Forms Act calls for forms tailored to registered non-variable insurance contracts.
September 02, 2026
Private Fund Advisors Busted in Ponzi-Like Scheme Against Retirees: SECMark Hanf and Hoai-Nam Chu Phan made material misrepresentations regarding the Pacific Fund and Freedom Fund, a complaint says.
September 02, 2026
Fake NFL Player, Phony Advisor Charged With Swindling at Least 26 Women: DOJA teenager posed as a financial advisor for the bogus San Francisco 49er, prosecutors say.
September 01, 2026
SEC Investigating Florida Advisor Facing Millions in Lawsuits: ReportMichael Watkins is accused of defrauding 13 clients.
September 01, 2026
T. Rowe CEO Sees Tax-Loss Harvesting as Opportunity for GrowthCEO Rob Sharps remains confident that the firm's SMA offerings won't draw regulatory scrutiny.
September 01, 2026
Special Needs Plans Are Driving Medicare Advantage GrowthThe hot plans on the menu right now are the ones with a narrow focus.