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.
Robo-Advisor Wealthfront, Backers Seeking $485M in IPO
By Georgie McKayThe company plans to market shares for $12 to $14 each, according to its SEC filing.
December 01, 2025
Ex-Broker, State Lawmaker Pleads Guilty to Role in Extortion ConspiracyChristopher Ziogas, a former Connecticut representative who most recently worked at Kestra, has been barred by FINRA.
December 01, 2025
Bill to Allow Direct 401(k) Rollovers to Annuities Is BackThe act would streamline the complicated 402(f) notice, which requests a distribution from a 401(k) plan.
November 26, 2025
10 of the Worst Financial Scams of the Past CenturyWhile Charles Ponzi’s own scheme is a bit too old to qualify, his name figured into many more recent frauds.
November 26, 2025
Ex-UBS Rep Suspended, Fined for Exceeding Personal Credit Card LimitTimothy R. Jones circumvented firm systems to go over his authorized limit, FINRA states.
November 26, 2025
Draft Trump 2027 Medicare Regs May Help Enrollees Who Lose Their DoctorsThe proposal could also expand a drug price negotiation program and overhaul marketing rules.
November 25, 2025
Who Wants to Work After Claiming Social Security?Staying employed after starting benefits serves different purposes for different groups, a new report finds.
November 25, 2025
Ex-Wells Fargo Rep Violated Reg BI With Options: FINRAJames Eugene Holmes also traded in at least five customers’ accounts without prior authorization, the regulator states.