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.
Accredited Investor Qualification Bill Reemerges
By Melanie WaddellThe bill would update the list of certifications that would give an investor wider access to private investments.
June 05, 2025
FINRA Panel Orders Advisor to Pay Ameriprise $383KAmeriprise accused the advisor of a "brazen scheme" to take account information to his new RIA.
June 04, 2025
Kellyanne Conway Talks Trump Tariffs"I don’t know why anybody’s surprised that he went ahead with tariffs," the former Trump advisor said Wednesday.
June 04, 2025
Bill Advancing in Congress Creates Senior Fraud Task Force at SECThe Senior Security Act passed the House Financial Services Committee and would help strengthen protections against financial predators.
June 03, 2025
Wells Fargo’s Asset Cap Lifted by FedThe cap, an unprecedented punishment for years of scandals, has restricted the firm's size since 2018.
June 03, 2025
Senators Re-Introduce E-Delivery BillThe legislation requires the SEC to write a rule allowing financial firms to deliver documents in digital format.
June 02, 2025
Supreme Court Rebuffs Challenge to FINRA's AuthorityThe justices turned away an appeal from Alpine Securities, allowing a FINRA case against the BD to proceed.
May 30, 2025
RIA Growth Could Stall in 2025: ReportWhile the number of SEC-registered advisors grew in 2024, economic and other factors could shift that trend.