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.
Schwab Advisor Pleads Not Guilty to Assault, Weapons Charges
By Dinah Wisenberg BrinThe charges stem from an alleged domestic violence incident, Denver County Court records show.
May 26, 2026
JPMorgan Ordered to Pay $4.25M for Wrongful Firing of BrokerThe financial professional, now at Wells Fargo, alleged that his termination from the firm was defamatory.
May 26, 2026
Ex-Broker Pleads Guilty to $9.5M Ponzi SchemeEdwin Emmett Lickiss Jr., 78, admitted to defrauding investors over 26 years.
May 22, 2026
SEC Delays Plan Allowing for Crypto Versions of U.S. StocksThere's concern about the trading of third-party tokens set to be issued without the consent of the public companies involved.
May 22, 2026
The Social Security Clock Is Ticking. Here's What Advisors Should Watch.NARSSA President Martha Shedden weighs in on Trump accounts, key bills and how advisors can prepare for possible cuts.
May 22, 2026
UBS Hits Back Over Nazi-Accounts Probe Amid Senate PressureThe bank says the U.S. lawyer overseeing a six-year-old inquiry into Credit Suisse is exceeding his mandate.
May 21, 2026
Why Clients Should Consider Roth Conversions When Stocks DropThey can get more bang for their tax buck — but they need to keep their full tax picture in mind.
May 21, 2026
Reg BI and New Product Best Practices: What BDs Should KnowTed Luecke, examination director at FINRA, offers tips on how BDs can stay compliant while bringing on new products.