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.
Man Who Extorted His Financial Advisor Loses U.S. Citizenship
By Dinah Wisenberg BrinThe Italian-born man held the advisor at gunpoint after discovering he was running a Ponzi scheme, DOJ said.
April 13, 2026
New Bill Requires IRS to Provide Call Wait TimesThe proposed legislation would also make tax returns and notices available via the agency website or mobile app.
April 10, 2026
Lawmaker Urges SEC to Probe 'Suspicious' Trading Amid Iran WarRegulators should investigate unusual trading activity in oil and equity futures markets, Rep. Ritchie Torres said.
April 09, 2026
Long Island Advisor Pleads Guilty to $160M Investment FraudVincent Camarda of A.G. Morgan Financial Advisors faces up to 20 years in prison.
April 09, 2026
New Bill Reverses Social Security Staff CutsThe Social Security Customer Service Act requires at least 75% of new hires to serve in customer service roles.
April 08, 2026
SEC Names New Enforcement DirectorDavid Woodcock, currently a partner at Gibson, Dunn & Crutcher, will start his new SEC post on May 4.
April 08, 2026
Rep Violated Reg BI With Structured Note Sales to Retirees: FINRANeither client of Frederick Hohensee had prior experience with the complex investment products, an order states.
April 08, 2026
Ex-Northwestern Mutual Advisor Gets 5 Years in Prison for Stealing $8.6M From ClientsJohn Jay Kersey, who prosecutors say conducted a 20-year Ponzi scheme, was also ordered to pay restitution.