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 Gets 10 Years in Prison for Stealing $2M From Elderly Clients
By Dinah Wisenberg BrinJulie Anne Darrah convinced clients "she would take care of them in their older years like a daughter," authorities said.
May 21, 2025
Man Who Fled FBI on Sea Scooter Pleads Guilty in $35M Ponzi SchemeMatthew Piercey ran a fake fund and used investor money for his own purposes, authorities said.
May 20, 2025
Judge Rejects $40M Class-Action Settlement in Vanguard Target-Date Selloff CasePlaintiffs will get a better deal under an SEC settlement, the judge found.
May 20, 2025
Accredited Investor Standard Should Be Eliminated: SEC's PeirceThe move would give more investors access to private markets through "diversified, professionally managed funds," the commissioner says.
May 19, 2025
5 Years In, Reg BI Is Still Unclear to BDsCompliance professionals say Reg BI has been a heavy lift but has helped to derisk the industry.
May 19, 2025
Advisors Must Prepare for Where Crypto Is HeadedAs the tone changes toward the digital currency, strong compliance frameworks have never been more essential.
May 19, 2025
SEC to Review Trade Data CollectionThe CAT system has gotten pushback over costs and security risks, SEC chairman Paul Atkins says.
May 16, 2025
The Hottest Tax Legislation Debate Isn’t In WashingtonJoin Professors Byrnes and Bloink on June 11 for a fierce, but friendly, debate about tax policy.