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.
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April 20, 2026
Rep Fired for Misusing $15,000 in Erroneous Commission Payments Gets FINRA SuspensionBrandon Still misappropriated $15,000 that Arvest Wealth mistakenly paid him, according to FINRA.
April 20, 2026
SEC, CFTC Propose Narrowing Hedge Fund Reporting RequirementsThe regulators plan to raise the threshold for all filers from $150 million in private fund AUM to $1 billion.
April 20, 2026
SEC Asks Court to Toss Accredited Investor Rule SuitA complaint, brought in September, challenges the income and net worth thresholds in the agency's accredited investor definition.
April 20, 2026
Stifel Settles With Investors in Structured Notes CaseThe investors won a $133M arbitration award tied to barred broker Chuck A. Roberts' risky strategy.
April 17, 2026
Barred Oregon Broker Accused of Stealing Over $1.6M From ClientsJeffrey Thomas Higgins is charged with selling clients' stock and taking the proceeds over roughly 17 years.
April 17, 2026
IRS Releases Tool to Help Taxpayers Resolve DebtTax Debt Help explains payment options as well as how to settle debt for less than is owed.
April 16, 2026
RMD Rules After Divorce Might Surprise Your ClientsUsing a qualified domestic relations order to divide retirement assets doesn't always create a clean break.