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.
Carson Group Says Ex-CMO Altered Evidence in Lawsuit
By Dinah Wisenberg BrinA lawyer for the former executive, Mary Kate Gulick, disputed the accusations.
July 28, 2025
Ex-Commonwealth Rep Lied About CE: FINRAFrancis Smith, now at Cambridge, was fined and suspended for having someone else complete his CE requirements.
July 28, 2025
FINRA Bars Ex-Northwestern Mutual Employee Over Faked Exam ScoreWillnard Love lied to his firm about passing the Securities Industry Essentials exam, the regulator found.
July 28, 2025
FINRA Takes a Hard Look at Its Enforcement ProgramThe review, conducted with outside experts, is aiming for "meaningful, common-sense improvements."
July 28, 2025
Citadel Securities Wins Case on SEC Audit Trail FundingAn appeals court invalidated the funding plan for a database that would've cost Wall Street billions in fees.
July 25, 2025
Advisor Charged With Conning Venezuelans, Others in $94M Ponzi SchemeSeparately, the SEC accused Andrew Jacobus of swindling clergy and Catholic groups of $3.2 million.
July 24, 2025
12 States Where It Takes the Most Income to Be in the Top 1%While economic conditions vary, it takes $731,492 on average to be part of this elite group, SmartAsset reports.
July 23, 2025
Social Security to Keep Paper ChecksSen. Elizabeth Warren said Wednesday that she has received key commitments from SSA Commissioner Frank Bisignano.