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.
'Disrupters Get Disrupted': Smart Beta Pioneer Has a Warning for AI Investors
By Jane Wollman Rusoff"AI is the real deal, but that doesn’t mean it’s not a bubble," Rob Arnott of Research Affiliates says.
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.
May 20, 2025
Judge Rejects $40M Class-Action Settlement in Vanguard Target-Date Selloff CasePlaintiffs will get a better deal under an SEC settlement, the judge found.
May 20, 2025
Accredited Investor Standard Should Be Eliminated: SEC's PeirceThe move would give more investors access to private markets through "diversified, professionally managed funds," the commissioner says.
May 19, 2025
5 Years In, Reg BI Is Still Unclear to BDsCompliance professionals say Reg BI has been a heavy lift but has helped to derisk the industry.