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.
IRS Clarifies No-Tax-On-Tips, Overtime Rules
By John ManganaroA new notice details how workers should determine the amount of their deductions without receiving employer accounting.
November 19, 2025
Ex-LPL Rep Suspended, Fined Over Trades in Deceased Client's Daughters' AccountsThe rep placed unauthorized trades once the accounts were funded with the proceeds from their father's estate, FINRA says.
November 19, 2025
Barred Advisor Gets 3-Year Sentence for Bilking Friends, Relatives Out of $3MRobert C. Starnes, who took more than a dozen people's retirement savings, also must pay restitution.
November 18, 2025
Twin Advisors Found Guilty in $10M Fraud Against 100 VictimsOne of the brothers was convicted of obstruction of justice for trying to threaten victims and bribe DOJ officials.
November 18, 2025
5 Insights From 2026 Medicare Plan Market InsidersSo far, the annual enrollment period seems to be about as rocky as they had expected.
November 18, 2025
7 Top SEC Exam Priorities for 2026The agency just released its annual look at the top exam areas for the coming year.
November 17, 2025
Ex-Fidelity Rep Suspended, Fined Over Outside Business ActivityThe rep made $13,000 selling an automated trading algorithm, FINRA said.
November 17, 2025
RIAs Charged With Inflating AUM and Misrepresenting LocationsThe firms claimed that a separate RIA reported information about their private funds on its own Form ADV.