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.
Advisor Accused of Stealing Millions From Widowed Aunt, Former Exec
By Dinah Wisenberg BrinScott Mason and his firm may have misappropriated money from several other investors, the widow's lawyer says.
August 12, 2024
Raymond James Nears $50M SEC Settlement Over Texting IssuesThe broker-dealer is one of several firms caught up in the SEC's off-channel communications sweep.
August 09, 2024
IRS Provides Tax Relief to Hurricane Debby Victims in 4 StatesThe relief order applies to all of South Carolina, most of Florida and North Carolina, and part of Georgia.
August 09, 2024
SEC, Exchanges Should Probe Monday's VIX Surge: SummersDuring the stock selloff Monday, the volatility index surged above 65 — a level associated with outright investor panic.
August 09, 2024
EHealth CEO to Medicare Advantage: Extend the Enrollment Period NowFran Soistman worries about beneficiaries facing a perfect storm of enrollment confusion.
August 09, 2024
SEC Hits RIA With $430K Marketing Rule FinePacific Financial's hypothetical performance ads were disseminated on its website rather than to an intended audience.
August 09, 2024
Supreme Court Ruling, Criminal Trial Shake Up Insider Trading: SEC RoundupThe attorneys unpack how recent developments could affect enforcement around planned insider sales of company stock.
August 08, 2024
Debate: Were Texas Courts Right to Pause DOL Fiduciary Standard?The injunction applies to both the investment advice fiduciary standard itself and amendments to PTE 84-24.