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.
Osaic to Pay $3M Over Mutual Fund Switches at Securities America
By Melanie WaddellThe BD failed to supervise Class A fund switches, leaving customers with $2 million in fees, FINRA said.
December 02, 2025
Robo-Advisor Wealthfront, Backers Seeking $485M in IPOThe company plans to market shares for $12 to $14 each, according to its SEC filing.
December 02, 2025
Answers on Alts in 401(k)s, New Fiduciary Rule on Deck in 2026Imminent guidance on Trump accounts is also expected, says former retirement official Mark Iwry.
December 02, 2025
Michael and Susan Dell Pledge $6.25B to Fund 25M 'Trump Accounts'Children under 10 but too old to qualify for newborn deposits will be eligible for a $250 contribution.
December 01, 2025
Ex-Broker, State Lawmaker Pleads Guilty to Role in Extortion ConspiracyChristopher Ziogas, a former Connecticut representative who most recently worked at Kestra, has been barred by FINRA.
December 01, 2025
Bill to Allow Direct 401(k) Rollovers to Annuities Is BackThe act would streamline the complicated 402(f) notice, which requests a distribution from a 401(k) plan.
November 26, 2025
10 of the Worst Financial Scams of the Past CenturyWhile Charles Ponzi’s own scheme is a bit too old to qualify, his name figured into many more recent frauds.
November 26, 2025
Ex-UBS Rep Suspended, Fined for Exceeding Personal Credit Card LimitTimothy R. Jones circumvented firm systems to go over his authorized limit, FINRA states.