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.
CFTC Floats Prediction Market Rule to Crack Down on War Bets
By Lydia Beyoud and J.J. McCorveyThe plan would crack down on bets related to war, terrorism and assassination.
June 09, 2026
SEC Warns Advisors on Conflicts in Cash Management, FeesA new risk alert points to deficiencies found during advisor exams.
June 09, 2026
'Medicare' May Still Pay 89% of Promised Benefits if It Goes BrokeBut the new trustees report shows payroll tax revenue at the hospitalization trust fund was weak.
June 09, 2026
Inmate Who Siphoned $11M From Schwab Account Has Escaped: FBIArthur Lee Cofield had been convicted of stealing a wealthy Schwab client's identity while in prison.
June 09, 2026
FINRA Suspends Ex-Merrill Rep for Charging Personal Expenses on Firm Credit CardMelacknesh Belay Igwe submitted inaccurate expense reports, an order states.
June 09, 2026
Growth in Dual Registrants Makes Sense: FINRA CEORobert Cook talked with FSI's Dale Brown about the convergence of the BD and IA models.
June 08, 2026
FBI Offers $150K Reward for Fugitive Advisor Wanted in Fraud SchemeAuthorities haven't seen Christopher Burns, accused of defrauding about 100 investors, since 2020.
June 05, 2026
Barred Oregon Advisor Pleads Guilty to $1.6M Investment FraudJeffrey Thomas Higgins, who defrauded at least 14 investors, faces up to five years in prison.