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.
RIA Must Pay SEC $75K Over Custody Rule Violations
By Melanie WaddellNortheast Financial Group failed to conduct financial statement audits of private funds that the firm advised.
June 29, 2026
Supreme Court Rejects Bid to Review SEC's Rescinded 'Gag Rule'The now-rescinded SEC policy forced people and companies settling enforcement cases to never publicly criticize or contest SEC claims.
June 26, 2026
FINRA Bars Ex-Ameriprise Advisor Accused of Taking $3.5M From ClientSung Moo Cho, most recently a Citigroup rep, refused to cooperate with a FINRA probe.
June 26, 2026
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Tax Issues to Consider When Investing in AlternativesImplications, both favorable and unfavorable, vary by the type of asset and how and where clients hold it.
June 26, 2026
House Passes Financial Exploitation Prevention ActThe bill would allow advisors and firms to delay suspicious transactions if they believe financial exploitation has occurred.
June 25, 2026
Two Sales Agents Settle With SEC in Alleged $56M Ponzi SchemeOne raised millions through a purported family office, while the other promoted fraudulent notes on his radio show, the SEC says.
June 25, 2026
SEC Sends E-Delivery Rule to White House for ReviewSEC Chair Paul Atkins has said he's asked agency staff to draft a "broader" e-delivery rule.
June 24, 2026
FINRA Ousts Morgan Stanley Broker Fired for Allowing Third-Party Access to Client's AccountJames Fredrick Tighe refused to testify about the allegations, FINRA says.