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.
4 Issues Hurting Mobile Comms Compliance
By Jamie HoyleJust 25% of firms capture all mobile messages, while the majority rely on workarounds — bleeding budgets and missing risks.
August 15, 2025
'Young-Gun' Investor Charged in Multi-Million-Dollar SchemeMihir Sukthankar defrauded clients, using their money for his personal expenses, Kentucky prosecutors say.
August 15, 2025
12 States With the Highest Rates of Billion-Dollar RIAsSmartAsset rankings are based on the percentage that manage $1 billion or more as of August Form ADV filings.
August 15, 2025
Texting Still in Regulators' CrosshairsIf regulators find violative conduct related to off-channel communications, they will bring actions, Eversheds attorneys say.
August 14, 2025
DOL Lifts Warning on Alts in 401(k)sThe move follows Trump’s executive order that paved the way for alternative assets to be included in retirement plans.
August 14, 2025
Just 10% of Seniors Are OK With Their Social Security Checks: ReportMost older adults are still feeling the effects of inflation spikes from the early 2020s, a recent poll finds.
August 13, 2025
Wells Fargo Hit With $275K FINRA FineWells Fargo Clearing failed to establish and maintain a supervisory system related to municipal advisory activity.
August 13, 2025
Rep Suspended for Execessive Trades in Senior Clients' Accounts, Violating Reg BIThe Spartan Capital rep made the trades in the accounts of two 66-year-old clients, leading to significant losses.