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-CFA Institute Executive Pleads Guilty to $6M Theft
By Chris DolmetschMichael J. Collins, CFA Institute's former chief marketing officer, embezzled almost $6 million from the group and another company.
April 23, 2026
Goldman Sachs Says Ex-Star Banker Leissner Is Hiding Its MoneyTim Leissner collected more than $20 million in compensation while carrying out frauds involving Malaysia's 1MDB fund, Goldman says.
April 21, 2026
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April 21, 2026
SEC Chief Touts Renewed Focus on Individuals, Fraud"Holding individual wrongdoers accountable" promotes "stronger deterrence and better safeguards for investors," Paul Atkins says.
April 21, 2026
Labor Secretary Leaves Cabinet Amid InvestigationLori Chavez-DeRemer is accused of committing travel fraud and drinking at work.
April 20, 2026
Rep Fired for Misusing $15,000 in Erroneous Commission Payments Gets FINRA SuspensionBrandon Still misappropriated $15,000 that Arvest Wealth mistakenly paid him, according to FINRA.
April 20, 2026
SEC, CFTC Propose Narrowing Hedge Fund Reporting RequirementsThe regulators plan to raise the threshold for all filers from $150 million in private fund AUM to $1 billion.