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.
SEC Accuses Florida Radio Host of Deceiving Retirees
By Dinah Wisenberg BrinCharles Oliver used his radio show and podcast to lure clients to an investment scheme, the agency contends.
September 15, 2025
FINRA Accuses Ex-Broker of Cheating on Securities ExamJoshua E. Scholnick flunked the test, the regulator says.
September 15, 2025
6 Reasons to Consider Funding a Spousal IRAClient couples in which one spouse doesn't work should take a closer look these accounts and their contribution limits.
September 12, 2025
DOL Backs Morgan Stanley on Deferred CompAdvisors who left the wirehouse have argued they're owed millions in deferred compensation.
September 12, 2025
Ex-Two Sigma Quant Charged With Fraud by Federal ProsecutorsThe researcher allegedly manipulated investment models so they seemed to be generating higher returns than they were.
September 10, 2025
State-Registered Investment Advisors, by the NumbersHere's a look at RIAs with $100 million or less under management.
September 09, 2025
Judge Tentatively OKs $25M Vanguard Target-Date Selloff SettlementA previously rejected $40 million settlement would have paid less to affected investors.
September 09, 2025
SEC Sued Over Accredited Investor RuleA health care startup executive says she was blocked from investing in a venture capital fund.