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.
BD Hit With Reg BI Fine Over Annuity Exchanges
By Melanie WaddellAAG Capital recommended swapping life insurance policies, fixed indexed annuities and VAs for more costly RILAs.
May 27, 2025
'Disrupters Get Disrupted': Smart Beta Pioneer Has a Warning for AI Investors"AI is the real deal, but that doesn’t mean it’s not a bubble," Rob Arnott of Research Affiliates says.
May 27, 2025
Taxes Due June 16 for Taxpayers Living AbroadThe deadline applies to both U.S. citizens and resident aliens, including those with dual citizenship.
May 27, 2025
This Obscure White House Office Helps Shape Tax RegulationsThe Office of Information and Regulatory Affairs estimates how government policies might affect you and your clients.
May 22, 2025
Advisor Gets 10 Years in Prison for Stealing $2M From Elderly ClientsJulie Anne Darrah convinced clients "she would take care of them in their older years like a daughter," authorities said.
May 22, 2025
New Custody Rules Signal 'Regulatory Reset' for Digital Assets: SEC RoundupFormer SEC Commissioner Troy Paredes discuss the commission's evolving approach to financial innovation and digital asset regulation.
May 22, 2025
Ex-Osaic Advisor Who Accepted $1M Bequest From Client Faces Fine, SuspensionThe advisor didn't notify his firm or receive approval to accept the bequest, according to FINRA.
May 21, 2025
Man Who Fled FBI on Sea Scooter Pleads Guilty in $35M Ponzi SchemeMatthew Piercey ran a fake fund and used investor money for his own purposes, authorities said.