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.
Pacific Life Asks Court to Toss NASCAR Champ's IUL Lawsuit
By Dinah Wisenberg BrinThe driver and his wife allege roughly $8.6 million in losses tied to indexed universal life insurance policies.
January 22, 2026
Ex-Goldman Banker Who Pleaded Guilty for $4.5M Fraud Seeks PardonTim Leissner is seeking a presidential pardon before he surrenders to a federal prison.
January 22, 2026
Georgia Advisor Pleads Guilty in $380M Ponzi SchemeTodd Burkhalter "perpetrated what is likely the largest Ponzi scheme in Georgia history," a U.S. attorney said.
January 21, 2026
Lawsuit Says United Planners, Advisor Steered Retirees to High-Risk InvestmentsThe complaint, seeking class-action status, alleges securities fraud and RICO violations.
January 21, 2026
Indexed Annuities Could Move Into Retirement Plans SoonDeloitte analysts predict the eligible contracts will have to offer guaranteed lifetime benefits.
January 21, 2026
Osaic Forerunner Wins Major FINRA Case Tied to Ex-BrokerThe case involved tens of millions in damage claims that Triad Advisors failed to adequately supervise James Walesa.
January 20, 2026
Retirement Industry Blasts Trump 401(k) Down Payment ProposalThere are concerns that the policy could confuse savers while worsening the affordability crisis.
January 20, 2026
What Does Greenland Invasion Talk Mean for Annuity Advisors? Here Are 5 IdeasThe extra volatility that scares shareholders could have mixed effects on insured income products.