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 Chief Taps Armed Forces Judge to Lead Enforcement Unit
By Nicola M. WhiteSEC Chair Paul Atkins selected Margaret “Meg” Ryan, who once clerked for Supreme Court Justice Clarence Thomas.
August 20, 2025
How 401(k) Millionaires Fit Into the Accredited Investor ClassThese investors should get access to sophisticated investments, a new report by David Blanchett and others argues.
August 19, 2025
Advisor's Widow to Pay $3.8M Over Husband's Alleged Ponzi SchemeThe deal is tied to the SEC's pursuit of Stephen Romney Swensen's estate in an alleged $29 million securities scam.
August 19, 2025
4 Issues Hurting Mobile Comms ComplianceJust 25% of firms capture all mobile messages, while the majority rely on workarounds — bleeding budgets and missing risks.
August 18, 2025
JPMorgan Chase Bank Sued Over CD Rollover Rate ChangeA high-interest "relationship" certificate of deposit rolls over to a low rate without warning, a customer complains.
August 18, 2025
Biden-Era Fiduciary Rule on Hold, AgainThe DOL has requested a third 60-day extension to consider next steps in the consolidated federal court case.
August 15, 2025
'Young-Gun' Investor Charged in Multi-Million-Dollar SchemeMihir Sukthankar defrauded clients, using their money for his personal expenses, Kentucky prosecutors say.
August 15, 2025
12 States With the Highest Rates of Billion-Dollar RIAsSmartAsset rankings are based on the percentage that manage $1 billion or more as of August Form ADV filings.