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.
Why Early Retirement Can Be a Smart Tax Move
By Jane Wollman RusoffW-2 earnings, planner Sean Mullaney argues, carry a much higher tax burden than drawing on assets.
June 22, 2026
Stifel Pays $3M to Settle Claim Over Barred Broker's Structured Notes StrategyAfter a $133 million award in April, the firm faces up to 19 additional complaints tied to Chuck Roberts.
June 22, 2026
Former CFA Executive Gets Up to 9 Years for EmbezzlementMichael J. Collins, CFA Institute's former chief marketing officer, was sentenced Monday in New York state court.
June 22, 2026
Debate: Is This a Good Way to Regulate Retirement Plan Investments?The DOL's new safe harbor proposal would protect plan fiduciaries when they pick investments using a prudent process.
June 17, 2026
Advisors Wary of SEC's Plan to Allow Semiannual Corporate Earnings ReportsQuarterly reporting helps inform clients, but it also encourages public companies to focus on the short term.
June 17, 2026
Financial Fraud Is Accelerating: CFP Board Survey"Our research suggests many people may be more vulnerable than they realize," said CFP Board CEO K. Dane Snowden.
June 17, 2026
FINRA Expels BD Over Reg BI ViolationsThe regulator has also barred Reid & Rudiger's co-founders for excessively trading 20 accounts.
June 17, 2026
Man Who Bought Hundreds of Snowmobiles Admits to $14M Ponzi SchemeStanley Pophal used investor money to purchase 600 items, including motorcycles, for himself, according to prosecutors.