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-LPL Rep Suspended Over Outside Business Activity
By Melanie WaddellJames Robert Ptacek Jr. did not disclose his role on the board of a streaming company, FINRA states.
April 24, 2026
Lawmakers Urge DOL to Scrap Indie Contractor Rule ProposalIn a letter, Democrats told acting Labor Secretary Keith Sonderling Friday to revive the 2024 rule.
April 23, 2026
Federal Court Rules Against IRS Micro Captive Insurance RegulationThe judge found that the agency exceeded its statutory authority.
April 23, 2026
Ex-CFA Institute Executive Pleads Guilty to $6M TheftMichael J. Collins, CFA Institute's former chief marketing officer, embezzled almost $6 million from the group and another company.
April 23, 2026
Supreme Court Voices Little Interest in More Curbs on SECThe justices weighed restricting the financial watchdog's power to collect ill-gotten gains.
April 23, 2026
Branch Manager Suspended at Firm Accused of Widespread ChurningA New York branch manager failed to supervise 39 reps' trading misconduct, FINRA's order states.
April 23, 2026
Goldman Sachs Says Ex-Star Banker Leissner Is Hiding Its MoneyTim Leissner collected more than $20 million in compensation while carrying out frauds involving Malaysia's 1MDB fund, Goldman says.