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-LPL Rep for Taking $1.7M From Clients
By Melanie WaddellRudy Anguiano transferred funds from two investors' accounts into his own company's bank account, an order states.
September 28, 2026
Bob Doll Urges Caution on StocksBonds are much more interesting than they were six months ago, Crossmark Global Investments' CEO says.
September 25, 2026
New Bill Would Let Nurses, Construction Workers Claim Social Security at 60The Blue Collar Social Security Fairness Act lowers the full retirement age for those with physically demanding jobs.
September 25, 2026
IRS Launches New Mobile AppThe app replaces IRS2Go and expands the agency's digital services.
September 24, 2026
When an Advisor Departure Turns Into a LawsuitWhat emerges within 30 days of a move often shapes the outcome.
September 24, 2026
Ameriprise, Broker to Pay Edward Jones Nearly $4.8M in Trade-Secrets DisputeAfter being fired from Edward Jones, Cory Clem attempted to take trade secrets and solicit clients, a FINRA arb panel found.
September 24, 2026
Vanguard to Pay $950K Over Cost Basis Errors in Client DocsTechnical issues led to errors on millions of statements over more than a decade, FINRA said.
September 24, 2026
SEC to Consider Accredited Investor Expansion Next WeekThe agency will also consider allowing performance fees to be charged in retail funds.