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.
Fired Edward Jones Broker Charged With Fraud, Money Laundering in Alleged Theft From Widow
By Dinah Wisenberg BrinJohn Winslow is accused of taking over $920,000 from a client and trading gold coins to conceal it.
April 03, 2025
Senate Approves Dr. Oz as Medicare Agency Head by 53-45 VoteThe former medical talk show host has suggested that the Medicare Advantage program needs to cut marketing costs.
April 03, 2025
How to Help Clients Prepare for a Possible Estate Tax Exemption SunsetAdvisors and clients should prepare for the possibility that lawmakers' effort to renew the 2017 threshold falls apart.
April 03, 2025
SEC Nominee Atkins Advanced by Senate Banking CommitteeIf confirmed by the Senate, Atkins is expected to rein in SEC enforcement and shape digital asset regulations.
April 02, 2025
Trump's Social Security Nominee Advances to Full SenateThe Senate Finance Committee voted 14-13 late Wednesday to advance Fiserv CEO Frank Bisignano's nomination.
April 02, 2025
SEC to Restructure Regional OfficesThe change impacts 10 locations and will become effective April 9.
April 02, 2025
Ex-Morgan Stanley Advisor Sentenced to 12 Years in Fraud SchemeJesus Rodriguez of El Paso, Texas, spent clients' money on himself, including a Lamborghini purchase, authorities found.
April 02, 2025
Commonwealth Wins Reversal of $93M SEC Revenue Sharing PenaltyA court last year found Commonwealth liable for failing to disclose a mutual fund revenue-sharing pact.