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.
Barred Oregon Advisor Pleads Guilty to $1.6M Investment Fraud
By Dinah Wisenberg BrinJeffrey Thomas Higgins, who defrauded at least 14 investors, faces up to five years in prison.
June 04, 2026
4 Strategies to Avoid Late-Payment Penalties After Filing an ExtensionPlans to address potential liability can be part of a holistic tax management strategy for clients and their advisors.
June 04, 2026
Debate: Do Taxpayers Benefit From 'Alternative' Health Plans?These options are not required to provide essential health benefits and can impose annual or lifetime caps.
June 04, 2026
Rep in Hot Water Over Annuity Rider, Reverse Mortgage RecommendationsClayton K. Shum also engaged in undisclosed outside business activities and disclosed clients' personal information, FINRA states.
June 04, 2026
Supreme Court Bolsters SEC's Power to Recoup Illegal GainsThe justices ruled unanimously Thursday that the regulator doesn't have to show investor harm to win disgorgement.
June 04, 2026
What the BD Industry Looks Like Now, in 6 ChartsThe number of reps rose for the fourth straight year as the number of firms continued to fall.
June 03, 2026
Will Your Client Get That Tax Break? This Number Is the KeyUnlike most working clients, retirees have some control over their taxable income if they've planned properly.
June 03, 2026
Number of RIAs Sets New Record: ReportWhile the number of RIAs grew in 2025, the regulatory environment is shifting under the SEC.