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 Gets 8 Years for Bilking Clients, Widowed Aunt
By Dinah Wisenberg BrinScott Mason of Pennsylvania had pleaded guilty to misappropriating $17 million.
June 24, 2025
Ex-CFA Institute Executive Charged With Embezzling MillionsMichael J. Collins was arrested Monday on an eight-count indictment by the Manhattan district attorney’s office.
June 24, 2025
House Passes Bill to Expand Accredited Investor DefinitionThe bill freezes the financial thresholds and allows investors with certain education or experience to be considered "accredited."
June 18, 2025
New Social Security Trustees Report Raises Fresh AlarmSignificant benefit cuts are expected in 2034, but experts say Congress still has time to fix the imbalance.
June 18, 2025
PNC to Pay $200,000 for Lax Annuity Exchange MonitoringThe firm failed to monitor reps’ rates of deferred variable annuity exchanges, FINRA said.
June 17, 2025
BDs Demand a Revamp of These FINRA RulesFINRA is conducting a broad review, and firms aren't mincing words on the changes they'd like to see.
June 13, 2025
SEC Names New Investment Management DirectorBrian Daly, a partner at Akin Gump Strauss Hauer & Feld, will replace Natasha Greiner, who departs July 4.
June 13, 2025
SEC Shreds Plans for 14 Major RulesThe list includes controversial proposals aimed at RIAs.