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.
Rep Violated Reg BI With Structured Note Sales to Retirees: FINRA
By Melanie WaddellNeither client of Frederick Hohensee had prior experience with the complex investment products, an order states.
April 08, 2026
Morgan Stanley Debuts Bitcoin ETF as Price Slump Rattles HoldersIt joins 10-plus spot-Bitcoin ETFs that launched over the past two years and collectively command over $85 billion in assets.
April 07, 2026
Ex-Raymond James Rep in Hot Water Over Account Conversions: FINRAPaul Snow switched 13 advisory accounts to brokerage accounts and made trades without disclosing material facts, an order states.
April 07, 2026
Wall Street Watchdogs Pull Back Amid Trump's Deregulatory PushCritics of deregulation worry about what may fall through the cracks.
April 07, 2026
Morgan Stanley Plans Private Credit Fund Even as Investors FleeThe North Haven Strategic Credit Fund may include "a wide spectrum of credit strategies," an SEC filing states.
April 07, 2026
Medicare Advantage Program Managers Blink on 2027 Subsidy IncreaseInsurer groups' cautious reaction suggests that turbulence for enrollees may still lie ahead.
April 06, 2026
FINRA Slams J.P. Morgan Securities With $3.25M Fine Over Rep's Risky StrategyThe rep used a complex investment strategy involving concentrated positions in high-yield securities as well as leverage.
April 06, 2026
Jeremy Siegel: Stocks Could Face More PressureWhile the economist remains bullish longer term, he voices caution for now.