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.
FINRA Hits BD With $20K Fine Over Form CRS Failures
By Melanie WaddellVSI Securities failed to disclose its disciplinary history on the form over a five-year period.
January 05, 2026
Before Tapping Retirement Accounts to Buy a Home, Consider ThisUsing a 401(k) or IRA for this purpose shouldn't be done lightly, Jeff Levine and Ed Slott say.
January 05, 2026
FINRA Fines, Suspends Ex-Osaic Rep Fired Over LoansRonald Ray Botello borrowed $173,000 from two senior clients without firm approval, the order states.
January 05, 2026
Advisor Pleads Guilty to Tax Evasion, Faces Up to 5 Years in PrisonJefferey Arsenault of Old Greenwich Capital Advisors also agreed to pay nearly $7 million in restitution.
January 02, 2026
What the New Roth Catch-Up Mandate Means for 2026 Tax PlanningHigh-income taxpayers could find that their taxes will jump because of a lost tax deduction.
January 02, 2026
Ex-Merrill Broker Sentenced to Two Years in PrisonRajesh Markan was also ordered to pay $2.5 million to investors in a fake private equity fund.
January 02, 2026
SEC Commissioner Caroline Crenshaw DepartsThe agency is down to three commissioners — all Republicans.
January 02, 2026
Osaic to Repay $4.6M in Cash Sweep FeesIts former American Portfolios unit didn't follow the fee calculation formula it disclosed to clients, according to FINRA.