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.
'Medicare' May Still Pay 89% of Promised Benefits if It Goes Broke
By Allison BellBut the new trustees report shows payroll tax revenue at the hospitalization trust fund was weak.
June 09, 2026
Growth in Dual Registrants Makes Sense: FINRA CEORobert Cook talked with FSI's Dale Brown about the convergence of the BD and IA models.
June 08, 2026
FBI Offers $150K Reward for Fugitive Advisor Wanted in Fraud SchemeAuthorities haven't seen Christopher Burns, accused of defrauding about 100 investors, since 2020.
June 05, 2026
Barred Oregon Advisor Pleads Guilty to $1.6M Investment FraudJeffrey Thomas Higgins, who defrauded at least 14 investors, faces up to five years in prison.
June 05, 2026
Trump Planned to Add 2.7M Living People to Social Security Death File: ReportTrump's plan, which was never implemented, was part of the administration's immigration enforcement efforts, The Washington Post reported.
June 05, 2026
Western Asset to Pay $100M in SEC Settlement Over Leech TradesThe settlement resolves an investigation related to trading practices of the firm's onetime star manager Ken Leech.
June 04, 2026
4 Strategies to Avoid Late-Payment Penalties After Filing an ExtensionPlans to address potential liability can be part of a holistic tax management strategy for clients and their advisors.
June 04, 2026
Debate: Do Taxpayers Benefit From 'Alternative' Health Plans?These options are not required to provide essential health benefits and can impose annual or lifetime caps.