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.
Branch Manager Suspended at Firm Accused of Widespread Churning
By Melanie WaddellA New York branch manager failed to supervise 39 reps' trading misconduct, FINRA's order states.
April 21, 2026
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April 21, 2026
SEC Chief Touts Renewed Focus on Individuals, Fraud"Holding individual wrongdoers accountable" promotes "stronger deterrence and better safeguards for investors," Paul Atkins says.
April 21, 2026
Labor Secretary Leaves Cabinet Amid InvestigationLori Chavez-DeRemer is accused of committing travel fraud and drinking at work.
April 20, 2026
Rep Fired for Misusing $15,000 in Erroneous Commission Payments Gets FINRA SuspensionBrandon Still misappropriated $15,000 that Arvest Wealth mistakenly paid him, according to FINRA.
April 20, 2026
SEC, CFTC Propose Narrowing Hedge Fund Reporting RequirementsThe regulators plan to raise the threshold for all filers from $150 million in private fund AUM to $1 billion.
April 20, 2026
SEC Asks Court to Toss Accredited Investor Rule SuitA complaint, brought in September, challenges the income and net worth thresholds in the agency's accredited investor definition.
April 20, 2026
Stifel Settles With Investors in Structured Notes CaseThe investors won a $133M arbitration award tied to barred broker Chuck A. Roberts' risky strategy.