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.
Rep Suspended, Fined for Deleting WhatsApp Messages
By Melanie WaddellGuillermo Enrique Guerra Romiti used his personal account and failed to retain business-related communications, FINRA states.
October 09, 2026
How to Use a Roth IRA to Dodge Early Withdrawal PenaltiesA one-time tax expense can yield years of tax- and penalty-free access to retirement dollars.
October 07, 2026
The Accredited Investor Double Standard: SEC RoundupThe agency has released a plan to broaden who qualifies, yet it's still suing people who would meet those criteria.
October 06, 2026
Rep Recommended Unsuitable Annuity Exchanges: FINRAThe switches led to unnecessary charges and reduced death benefits, an order states.
October 05, 2026
Lisa Gomez Laments DOL's Big Swings Between PresidentsPeople in the industry "just want rules that they can manage and deal with," the Labor official turned consultant says.
October 05, 2026
How Scammers Use AI to Trick Advisors and ClientsAI makes it far easier to craft believable phishing emails and malicious sites, says Cayla Culver of Schwab Advisor Services.
October 02, 2026
PRO
Outside Business Activities: What to Know Under FINRA's New RulesThe rules narrow BDs' oversight, but firms should flag certain gigs for review.
October 02, 2026
SEC Bars Ex-Cetera Advisor Accused of $2.4M Fraud Against Elderly ClientClarice Saw, previously affiliated with Citigroup and LPL, was subject to a civil judgment earlier this year.