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.
RIA to Pay Nearly $500K for Overcharging Clients
By Melanie WaddellPapamarkou Wellner Asset Management's client fees didn't match its advisory agreements or disclosure brochures, according to the SEC.
July 31, 2026
This Tax Planning Strategy Makes Advisors 'Indispensable': Jeff BushClients hire professionals, the tax expert says, "to ensure their financial plan succeeds regardless of who wins" the elections.
July 30, 2026
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AI Is Now Advisors' Top Compliance Worry. Here's What They Should Do.Eighty-five percent cite the technology as their most pressing concern, the Investment Management Compliance Testing Report finds.
July 30, 2026
Jeffrey Gundlach: Passive Investing a 'Trap' Amid Huge Tech IPOsInvestors choosing the passive approach should prioritize equal-weighted indexes, Gundlach suggests.
July 29, 2026
RBC to Pay $275K Over Anti-Money Laundering FailuresOver seven years, a FINRA order states, the firm did not have an AML compliance program "reasonably designed to detect and cause the reporting of suspicious transactions."
July 29, 2026
What 'The Wolf of Wall Street' Left OutFBI files and interviews tell a different story about a disgraced broker in the 1990s, says Bloomberg's Jason Leopold, producer of a new docuseries.
July 28, 2026
Ex-Citigroup Managing Director Gets 30 Years for Sex CrimesEdward Gene Smith, a Harvard graduate who worked at several Wall Street firms, was sentenced Tuesday. He pleaded guilty seven months ago.
July 28, 2026
Will the SEC Scrap This Vague Texting Rule?The agency plans to issue proposals in October on which records that BDs and RIAs need to keep.