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.
BD Hit With $65K Fine Over Reg BI, Email, Outside Business Violations
By Melanie WaddellJ.K. Financial omitted information from Form CRS,, among other failures, according to FINRA.
October 22, 2025
FINRA Suspends Ex-Fidelity Rep Over Social Media PostsKevin Jenkins ran a company that posted unapproved finance-related content, according to FINRA.
October 22, 2025
What Clients Get Wrong About Social Security May Surprise YouAdvisors shouldn’t be concerned about patronizing their clients when it comes to teaching them about Social Security mechanics.
October 21, 2025
Senate Passes Bill to Help Taxpayers Fix ErrorsThe IRS MATH Act would simplify notices informing taxpayers of mistakes on their tax filings.
October 21, 2025
SEC Chief: Texting Crackdown Went Too FarThe agency's handling of off-channel communications was "not the way a regulator should act," Paul Atkins said.
October 20, 2025
6 Must-Know Tips for Compliant TextingTexting is still in regulators' crosshairs, so firms and advisors need to follow the rules.
October 17, 2025
State Regulators See Rise in Tech-Related SchemesInvestment frauds connected to social media use have been identified as "significant dangers" in an enforcement report.