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.
RIAs Cautiously Optimistic, See Stock Gains in Year Ahead
By Michael S. FischerAbout a third have increased equity allocations ahead of expected rate cuts, a new survey finds.
October 06, 2025
Ex-Broker Pleads Guilty to $2.7M Investment Scam, $4.7M Pandemic Loan FraudJared Dean Eakes used investor funds for his own benefit, including for options trading in a personal account.
October 06, 2025
Social Security Groups Aghast as SSA Chief Gets Second Job Running IRSThe move is "unprecedented — and unwise," says one Social Security advocate.
October 06, 2025
Synovus Securities to Pay $315,000 Over E-SignaturesThe BD failed to detect red flags that four associated persons forged and falsified hundreds of signatures, FINRA says.
October 06, 2025
FINRA Suspends Ex-NY Life Rep Over Expense ReportsThe rep charged more than $4,000 in personal expenses to his corporate credit card, FINRA says.
October 06, 2025
Social Security Chief Named IRS CEOFrank Bisignano will continue to lead the SSA while leading the IRS; the role doesn't require Senate confirmation.
October 03, 2025
FINRA Panel Upholds Advisor Penalty Over Retiree's Ex-Wife Draining IRAThe client denied authorizing his former spouse to order trades.
October 02, 2025
Social Security Claiming: The Case of Two Ex-Spousal BenefitsKelly could claim her own worker benefit, but drawing income from former husbands results in a larger return.