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.
Ex-Advisor Sentenced to Nearly 6 Years for Wire Fraud, Identity Theft
By Dinah Wisenberg BrinDean Dellas defrauded a 61-year-old man and his 91-year-old mother, according to a parallel civil complaint.
August 26, 2026
What to Know About High-Risk Structured NotesStructured products can help limit losses, but they can come with steep fees and other downsides.
August 26, 2026
SEC Sends Custody Rule Changes to White House for ReviewThe SEC plan would modernize the regulations around custody of advisor assets, including crypto assets, the filing at OMB says.
August 25, 2026
FINRA Suspends Rep for Excessive Trading in Retiree's AccountGary Talbot of Spartan Capital recommended a series of transactions that violated Regulation Best Interest, an order states.
August 24, 2026
Ex-Fidelity Advisor Sentenced to Nearly 7 Years for Stealing $2M From Elderly ClientEric James Stone befriended a 75-year-old woman and used her money on gambling websites, DOJ says.
August 24, 2026
Trump Stock Disclosure Shows More Than 1,000 Trades in JuneTrump made more than 21,000 securities trades in 2025, often in bursts tied to market events he created.
August 21, 2026
With 261 Designations and Counting, How Many Are Worth It?FINRA maintains a list of the certification programs but does not regulate the entries.
August 21, 2026
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AI Rules for Advisors Aren't Here Yet. The Compliance Risks Are.Advisors should expect regulators to scrutinize their AI use under existing rules.