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.
RBC to Pay $275K Over Anti-Money Laundering Failures
By Melanie WaddellOver seven years, a FINRA order states, the firm did not have an AML compliance program "reasonably designed to detect and cause the reporting of suspicious transactions."
July 28, 2026
Will the SEC Scrap This Vague Texting Rule?The agency plans to issue proposals in October on which records that BDs and RIAs need to keep.
July 28, 2026
Edward Jones Asks Court to Compel 6 Black Advisors to Arbitrate Bias ClaimsA putative class-action lawsuit contends that the financial services firm discriminates in compensation, firings and promotions.
July 28, 2026
BD Fined $70K Over Reg BI Violations, Annuity Switches: FINRAThe Logan Group, an order states, failed to collect and consider client information related to recommended deferred variable annuities.
July 28, 2026
12 States Most at Risk From Projected Social Security InsolvencyThese locations, a report finds, would take the biggest hit on a 24% benefits cut upon the trust fund's exhaustion.
July 28, 2026
PRO
It's Time for a New Approach to Roth Conversions: Sean MullaneyThe CPA turned financial planner offers what he thinks is most critical regarding tax planning and retirement.
July 24, 2026
The Hollow Supreme Court Disgorgement Victory: SEC RoundupThe Supreme Court ruling letting the SEC pursue disgorgement without proving investor harm may be largely symbolic.
July 24, 2026
FINRA Suspends Ex-Morgan Stanley Rep Over Options Trades, TextingOne client couple lost almost $400,000 as the broker generated $62,000 in commissions, according to the regulator.