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.
TaxStatus' Jump Integration Links IRS-Verified Data to Planning Platform
By John ManganaroThe partnership reflects growing demand in the advisor space for verified financials and AI-powered planning.
February 03, 2026
Ex-Advisor Sentenced to 20 Years in Prison for $94M Ponzi SchemeAbout 25 Venezuelans applauded as a court official handcuffed Andrew Jacobus and escorted him away, the Miami Herald reported.
February 02, 2026
DOGE Social Security Data Breach Puts Retirees at RiskNew court papers released by DOJ may be the tip of the iceberg, lawmakers and advocates say.
February 02, 2026
FINRA Fines BD $750K Over TextingBenjamin Edwards didn't supervise employees' messaging nor preserve and review reps' business-related texts, the order states.
February 02, 2026
Citi Sues Former Exec, Denying Harassment ClaimJulia Carreon "fabricated" claims of harassment by wealth head Andy Sieg to avoid arbitration, the bank alleges.
February 02, 2026
Political Analyst Greg Valliere to RetireValliere, AGF Investments' chief policy strategist, plans to step down at the end of February.
January 30, 2026
Jeff Levine Calls Tax-Planning Gap Report an 'Indictment' of Advisor IndustryThe self-professed tax nerd says he was disappointed by the results of a recent BlackRock survey.
January 30, 2026
Strategist Warns Against a Hidden Threat in Private EquityPeter Dziedzic says life and annuity professionals can end up facing invisible conflicts of interest.