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.
Stifel Forks Over $3.6M to Settle More Claims Tied to Barred Broker
By Melanie WaddellTwo additional settlements were paid in July in the ongoing Chuck Roberts dispute.
August 06, 2026
Watch This Trend Around Qualified Small-Business StockAt least seven states do not recognize the exclusion of capital gains on this stock, and the list is growing.
August 06, 2026
Ex-Schwab Portfolio Manager Files Whistleblower Suit After Texting ComplaintsSabya Sinha alleges that he was terminated after reporting violations to the SEC.
August 05, 2026
Fake Advisor Sentenced to 3.5 Years for Defrauding 64 InvestorsHunter Haithcock stole at least $650,000 starting in his teens, prosecutors say.
August 04, 2026
Social Security Fixes: The Bad and the UglyIt comes down to raising taxes (unpopular) or cutting benefits (even less popular). But there's an even worse option.
August 04, 2026
Edward Jones Freezes $3M Account Under Senior Fraud RuleLarry Williams, 86, balked and moved money to Merrill Lynch, the Dallas Morning News reports.
August 04, 2026
New Bill Kills DOL Oversight of IRAsThe SMART Savings Act would prevent Labor from resurrecting a fiduciary rule.
August 03, 2026
FINRA Bars Ex-Ameriprise Advisor Charged in Gambling BustElias Chris Gerodemos refused to provide documents after being charged with involvement in an illegal sports betting operation.