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 in Talks to Raise AUM Threshold for Advisor Registration
By Melanie WaddellDiscussions are happening between the SEC and the states, sources say.
June 27, 2025
SEC Denies Requests to Alter More Texting SettlementsPerella Weinberg Partners and Kroll Bond Rating Agency asked the SEC to “equalize” certain settlement undertakings.
June 26, 2025
Debate: Should the Tax Bill Increase the Business Income Deduction?The Senate version of the bill would increase the QBI deduction to 23% and make other changes.
June 26, 2025
Wisconsin 'Advisor' Bought 300 Snowmobiles With Client Money: ProsecutorsStanley Pophal is accused of luring at least 120 investors to buy promissory notes in a $15 million scheme.
June 26, 2025
FINRA Sanctions Clearing Firm Exec for Sending Thousands of WeChat MessagesBingshan Song of Velox Clearing was suspended and fined $25,000.
June 26, 2025
SEC Kicks Off Review of Rules Governing Executive Pay and PerksIt may overhaul rules affecting the disclosures of compensation, including bonus clawbacks.
June 25, 2025
Ex-Advisor Gets 8 Years for Bilking Clients, Widowed AuntScott Mason of Pennsylvania had pleaded guilty to misappropriating $17 million.
June 25, 2025
FINRA Seeks to Align BD, Advisor Portfolio Performance ProjectionsFINRA's board approved changes to its Communications With the Public rule to better align with the SEC's Marketing Rule.