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.
Rep in Hot Water Over Annuity Rider, Reverse Mortgage Recommendations
By Melanie WaddellClayton K. Shum also engaged in undisclosed outside business activities and disclosed clients' personal information, FINRA states.
June 03, 2026
Will Your Client Get That Tax Break? This Number Is the KeyUnlike most working clients, retirees have some control over their taxable income if they've planned properly.
June 03, 2026
Number of RIAs Sets New Record: ReportWhile the number of RIAs grew in 2025, the regulatory environment is shifting under the SEC.
June 02, 2026
SEC Adds 4 Members to Investor Advisory CommitteeThe newcomers include Sheldon Ray, a former senior vice president at Raymond James & Associates.
June 02, 2026
Mariner Reports Data Breach Affecting Nearly 9,000A criminal third party downloaded private data, the wealth advisory firm told clients.
June 02, 2026
Bluespring Wealth Launches RIABluespring Wealth Management is intended to be a centralized model to handle compliance and other functions, Pradeep Jayaraman says.
June 01, 2026
Ex-Stifel Rep Settled Complaints, Failed to Tell Firm: FINRAJennifer Basey paid a married couple more than $1,300 over stock losses and a commission charge, an order states.
May 29, 2026
Lower Cash Drug Prices May Create New Questions For Medicare BeneficiariesClients have to think about both current out-of-pocket costs and the annual out-of-pocket spending cap.