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.
Georgia Advisor Pleads Guilty in $380M Ponzi Scheme
By Melanie WaddellTodd Burkhalter "perpetrated what is likely the largest Ponzi scheme in Georgia history," a U.S. attorney said.
January 21, 2026
Osaic Forerunner Wins Major FINRA Case Tied to Ex-BrokerThe case involved tens of millions in damage claims that Triad Advisors failed to adequately supervise James Walesa.
January 20, 2026
Retirement Industry Blasts Trump 401(k) Down Payment ProposalThere are concerns that the policy could confuse savers while worsening the affordability crisis.
January 20, 2026
What Does Greenland Invasion Talk Mean for Annuity Advisors? Here Are 5 IdeasThe extra volatility that scares shareholders could have mixed effects on insured income products.
January 20, 2026
FINRA Sends Revised Outside Business Activity Rule to SECFINRA's new plan clarifies "a number of sticking points," including supervisory requirements for outside RIA activity, says ACA's Cooke.
January 20, 2026
Cassidy Named Head of SEC Exam DivisionThe agency veteran has been acting director since May 2024.
January 20, 2026
Cetera Fined $1.1M Over AML, Other Failures: FINRACetera Advisors, Cetera Wealth Services and Cetera Investment Services were cited for supervisory compliance issues.
January 20, 2026
New SEC Marketing Rule FAQ Tackles Fees, TestimonialsMore FAQs are likely on the way as the industry seeks clarity on the rule, says Valerie Mirko.