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.
Who Wants to Work After Claiming Social Security?
By John ManganaroStaying employed after starting benefits serves different purposes for different groups, a new report finds.
November 24, 2025
Advisor Pleads Guilty to Conning Venezuelans, Others in $94M SchemeAndrew Hamilton Jacobus could face 20 years in federal prison, the Justice Department says.
November 21, 2025
IRS Clarifies No-Tax-On-Tips, Overtime RulesA new notice details how workers should determine the amount of their deductions without receiving employer accounting.
November 20, 2025
Compliance and AI: Financial Services Firms Dive InThe latest ACA and NSCP AI Benchmarking Survey finds that firms are shifting from AI exploration to AI adoption.
November 20, 2025
How to Avoid a Missed RMD PenaltyLegislation has changed the distribution rules, so clients need to have a tax-smart plan in place.
November 19, 2025
Ex-LPL Rep Suspended, Fined Over Trades in Deceased Client's Daughters' AccountsThe rep placed unauthorized trades once the accounts were funded with the proceeds from their father's estate, FINRA says.
November 19, 2025
Barred Advisor Gets 3-Year Sentence for Bilking Friends, Relatives Out of $3MRobert C. Starnes, who took more than a dozen people's retirement savings, also must pay restitution.
November 18, 2025
Twin Advisors Found Guilty in $10M Fraud Against 100 VictimsOne of the brothers was convicted of obstruction of justice for trying to threaten victims and bribe DOJ officials.