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.
Watch Out for These ETF Tax Surprises
By Roger WohlnerNot all ETFs are as tax-efficient as those that follow broad stock market indexes.
June 15, 2026
New York Tax Preparer Sentenced in $50M Ponzi SchemeMiles Burton Marshall had pleaded guilty to grand larceny, securities fraud and scheme to defraud.
June 15, 2026
'Social Security Is Not Going Away,' Industry Veteran Tells AdvisorsA recent webinar addressed financial professionals' concerns over the program trustees' annual report.
June 15, 2026
Fidelity to Launch Its First Mutual Fund ETF Share ClassesThe share classes will be added to municipal income, real estate and short-term bond mutual funds.
June 12, 2026
Merrill to Pay $225K for Not Reporting Client ComplaintsThe firm failed to report thousands of customer issues made through its call and support centers, FINRA finds.
June 12, 2026
FINRA Files to Make Remote Inspections PermanentThe regulator is also seeking approval on rules to modernize home office inspections and more flexible CE requirements.
June 12, 2026
Wall Street Races to Turn SpaceX IPO Into Leveraged ETFsNearly a dozen funds from ProShares, Direxion and other firms are slated to launch on Monday.
June 12, 2026
Ken Leech Pleads Guilty to Obstructing SEC Probe Into $600M TradesThe former star bond trader admitted at a court hearing that he lied to the Securities and Exchange Commission.