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.
Ex-Fidelity Advisor Sentenced to Nearly 7 Years for Stealing $2M From Elderly Client
By Melanie WaddellEric James Stone befriended a 75-year-old woman and used her money on gambling websites, DOJ says.
August 21, 2026
Two Texans Convicted in Ponzi Scheme Tied to Ex-San Antonio AdvisorThe trio, prosecutors say, conspired to mislead the victims concerning the security of the investments and concealed their high commissions.
August 20, 2026
Debate: Should IRAs Be Removed From DOL Oversight?Passage of the Simplifying Modern Access to Retirement Tools for Savings Act would mean that the accounts would no longer be subject to Labor's prohibited transaction rules.
August 20, 2026
How Advisors Can Help Small-Business Clients Offer Retirement PlansOnly about half small firms do so, according to the Labor Department.
August 20, 2026
IRS Updates FAQ on Business Interest DeductionThe new guidance reflects changes made under last year's One Big Beautiful Bill Act.
August 20, 2026
Franklin Plans to Push Tokenized Assets Into Traditional FundsThe firm is aiming to use its tokenized money-market fund inside ETFs and mutual funds, after SEC approval.
August 20, 2026
IRS Floats Regs on Eligible Trump Account InvestmentsEligible investments must be broad-based, low-fee stock index funds or ETFs, the proposed framework states.
August 19, 2026
FINRA Bars Rep for Using 'Internet-Enabled' Glasses to Cheat on ExamJacob Spencer used eyeglasses with electronic modifications to access Series 6 material online, an order states.