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.
LPL Advisor Must Pay UBS $5.6M Over Promissory Note Breach
By Dinah Wisenberg BrinAn arbitration panel awarded the financial services firm amounts due under the notes, plus interest and attorneys' fees.
August 11, 2026
SEC Alleges Fund Advisor Misled Investors in Pre-IPO SchemesAdit Ventures and its co-founder are accused of making false claims and overcharging clients millions of dollars to buy shares of SpaceX.
August 11, 2026
IRS Releases Trump Account Guidance for Employer ContributionsThe agency and Treasury Department are seeking comments until Sept. 25, with a public hearing set for Oct. 15.
August 11, 2026
American College Introduces DAF Designation ProgramThe inaugural Donor-Advised Fund Certified Professional coursework begins Sept. 1.
August 11, 2026
Ex-NY Life Rep Falsified Annuity Applications: FINRAQi Hua Yang was fined and suspended for providing false account numbers as funding sources, according to the regulator.
August 10, 2026
For Advisors, It's as Simple as 'Grow or Retire'Financial professionals must plan their next steps or risk stagnation, Silver Oak Securities CEO Billy Hopkins says.
August 10, 2026
The Endless Wells Notice Limbo: SEC RoundupA Wells notice is meant to signal the end of an SEC investigation. Many companies instead land in a holding pattern.
August 10, 2026
NASAA Shortens Waiting Period for IAR Test TakingAfter their third unsuccessful attempt at the Series 63, 65 or 66, candidates could retest within 60 days.