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.
U.S. Bancorp Unit Fined $500K, Censured Over Suspicious Activity Reports
By Dinah Wisenberg BrinThe firm incorrectly used the reporting threshold for banks rather than broker-dealers, FINRA reported.
August 22, 2025
SEC Chief Taps Armed Forces Judge to Lead Enforcement UnitSEC Chair Paul Atkins selected Margaret “Meg” Ryan, who once clerked for Supreme Court Justice Clarence Thomas.
August 21, 2025
The New Question Everyone Seems to Be Asking About AISome skepticism is understandable, Orion CEO Natalie Wolfsen says, but ignoring the tech is an unviable path.
August 21, 2025
Social Security Retirement Age Must Stay Put: House ResolutionHouse Democrats have introduced a measure voicing their opposition to any increase, citing Trump's promise.
August 20, 2025
How 401(k) Millionaires Fit Into the Accredited Investor ClassThese investors should get access to sophisticated investments, a new report by David Blanchett and others argues.
August 19, 2025
Advisor's Widow to Pay $3.8M Over Husband's Alleged Ponzi SchemeThe deal is tied to the SEC's pursuit of Stephen Romney Swensen's estate in an alleged $29 million securities scam.
August 19, 2025
4 Issues Hurting Mobile Comms ComplianceJust 25% of firms capture all mobile messages, while the majority rely on workarounds — bleeding budgets and missing risks.
August 18, 2025
JPMorgan Chase Bank Sued Over CD Rollover Rate ChangeA high-interest "relationship" certificate of deposit rolls over to a low rate without warning, a customer complains.