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-Broker Admits to Insider Trading Scheme Born From Pandemic
By Chris DolmetschJordan Meadow admitted he traded on information stolen by a friend from his girlfriend’s computer.
November 13, 2025
IRS Sets 401(k), IRA Contribution Limits for 2026The agency announced a number of cost-of-living adjustments tied to retirement accounts.
November 12, 2025
FINRA Bars Ex-Spartan Capital RepRonald Smith failed to provide all requested information, including electronic communications, concerning excessive trades, FINRA said.
November 12, 2025
Dealing With a 'Messy' IRSAdvisors should plan ahead for tax filing season and prepare clients for potential delays, analyst Jeff Bush says.
November 11, 2025
Ex-Advisor Who Taught Sunday School Sentenced to 5 Years for Bank FraudJesse Hill pleaded guilty to a scheme to obtain $45 million in loans from 19 different financial institutions.
November 10, 2025
Ex-Merrill Rep Suspended Over Outside Business ActivityJeremiah Householder referred four customers to a third-party lender owned by his brother-in-law, FINRA says.
November 07, 2025
FINRA Bars Ex-Morgan Stanley Rep Fired for Recommending Unapproved InvestmentsEric Brian Kleiner also failed to fully disclose an outside investment, according to the regulator's order.
November 07, 2025
Ex-Morgan Stanley Rep Suspended Over Transfers From Wife's IRAFINRA suspended Milwaukee-based Michael J. Schmidt for two months and fined him $5,000.