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.
FINRA Panel Orders Advisor to Pay Ameriprise $383K
By Dinah Wisenberg BrinAmeriprise accused the advisor of a "brazen scheme" to take account information to his new RIA.
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.
May 29, 2025
BD Hit With Reg BI Fine Over Annuity ExchangesAAG Capital recommended swapping life insurance policies, fixed indexed annuities and VAs for more costly RILAs.
May 28, 2025
Ex-Marine Conned Fellow Veterans in Ponzi Scheme, SEC SaysChristopher Aubin is accused of defrauding 24 investors, including two veterans he served with, out of $2.5 million.
May 28, 2025
Rush to Launch Vanguard-Style Funds Draws WarningsAdding ETF share classes to mutual funds could mean taxable gains get passed on to ETF investors.