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.
Ex-Schwab Rep Hid Profit-Sharing Agreement With Client: FINRA
By Melanie WaddellDaniel Michael Roper made more than 20,300 trades in exchange for a cut of the profits, the regulator says.
July 23, 2025
House Passes 2 SEC BillsUnder the bills, the SEC would create a senior investor task force and update its small business definition.
July 22, 2025
Former Broker Accused of Running $9.5M Ponzi SchemeThe former broker purportedly retired after a 2014 suspension but kept soliciting investments, fraudulently, prosecutors allege.
July 22, 2025
House Passes Accredited Investor Bill Calling for FINRA ExamThe bill would let individuals take an exam in order to qualify for private investment opportunities.
July 22, 2025
The 5 Hottest Compliance Topics of 2025While there's a new SEC chief, agency staff urges RIAs to "keep your foot on the compliance pedal."
July 22, 2025
DOL Retirement Oversight Nominee Lists InvestmentsDaniel Aronowitz has stocks, bonds, crypto, family trusts and $19 million coming from a Hub affiliate.
July 21, 2025
Annuity Issuers Ask SEC to Ease RILA Advertising RegsThe Committee of Annuity Insurers says there is still life and annuity red tape left to cut.
July 21, 2025
IRS Weighs In on Uncashed 401(k) ChecksRevenue ruling 2025-15 "is relevant mainly in situations involving missing participants or lost benefits," says Mark Iwry.