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.
Bluespring Wealth Launches RIA
By Rob BurgessBluespring Wealth Management is intended to be a centralized model to handle compliance and other functions, Pradeep Jayaraman says.
May 29, 2026
SEC Moves to Scrap Biden-Era Rule on Climate Risk DisclosuresThe 2024 rules, which never went into effect, were "unsound as a matter of policy," the SEC said Friday.
May 29, 2026
Retired Police Officer, Firefighter Seek Arrest of Barred AdvisorThe advisor stole nearly $1 million from them, the Oklahoma City first responders said.
May 29, 2026
Robinhood CFO Says States Seek to Copy Trump AccountsShiv Verma said states have approached the company about partnering on their own investment vehicles for newborns.
May 28, 2026
Treasury Launches Trump Accounts AppThe tool "delivers a simple, secure way for households to begin engaging" with the program, according to Scott Bessent.
May 27, 2026
FINRA Orders Ex-Wells Fargo Broker to Repay $1M in Promissory NotesNorman Fuller Barrett failed to repay a recruiting loan after he was fired, a FINRA arbitrator found.
May 27, 2026
Schwab Advisor Pleads Not Guilty to Assault, Weapons ChargesThe charges stem from an alleged domestic violence incident, Denver County Court records show.
May 27, 2026
How to Overcome the Hidden Bottleneck in Advisor RecruitingThe real risk is in winning recruits and then handling everything that must happen after they say yes.