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 Hits Another BD in Finfluencers Sweep
By Melanie WaddellThe promotional communications on social media platforms contained promissory language and violated organizational rules.
April 04, 2024
SEC Hits RIA With $6.5M Texting FineSenvest employees communicated about company business internally and externally using personal texting platforms.
April 03, 2024
Commonwealth Must Pay SEC $93M Over Revenue SharingCEO Wayne Bloom said the firm is "exploring all options to continue to defend our position."
April 03, 2024
Reg BI to Be 2025 SEC Exam PriorityThe SEC is issuing more Risk Alerts and releasing its priorities early, the agency's exam director said Tuesday.
April 02, 2024
Ex-Advisor Sentenced to 4 Years in Prison for $4.7M EmbezzlementChristopher Turean used client funds to gamble and for a home equity loan, the Department of Justice said.
April 02, 2024
The SEC Is 'Scaring People Off': Hester PeirceCulture at the top of the agency has changed, affecting how it engages the public, the commissioner said.
April 02, 2024
Medicare Moves Toward Election Season Clash With InsurersGovernment payments may rise just half as much as the plans' costs. Plan menus could shrink.
April 01, 2024
For High Earners, Roth Catch-Up Contributions Are TrickyUnder Secure Act 2.0, those making more than the threshold will soon have to direct such contributions to Roth accounts.