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.
BD Fined $70K Over Reg BI Violations, Annuity Switches: FINRA
By Melanie WaddellThe Logan Group, an order states, failed to collect and consider client information related to recommended deferred variable annuities.
July 24, 2026
The Hollow Supreme Court Disgorgement Victory: SEC RoundupThe Supreme Court ruling letting the SEC pursue disgorgement without proving investor harm may be largely symbolic.
July 24, 2026
FINRA Suspends Ex-Morgan Stanley Rep Over Options Trades, TextingOne client couple lost almost $400,000 as the broker generated $62,000 in commissions, according to the regulator.
July 23, 2026
When Taxes and Generational Wealth Collide, Here's What to DoStrategies to mitigate potential burdens on heirs, John Vento suggests, are powerful preservation tools — when used properly.
July 23, 2026
Warren, Dems Investigate Whether IRS CEO Misled CongressThe 14 senators are investigating whether IRS CEO Frank Bisignano misled Congress about the agency's staffing after Trump gutted it.
July 23, 2026
PRO
How Advisors Can Support Clients With IVF, Adoption & SurrogacyExpanded family-building measures can often carry retirement, tax and emotional complications.
July 23, 2026
SEC Agrees to Pay $150,000 to End Coinbase Suit Over RecordsThe agreement ends a two-year Freedom of Information Act legal battle between the Wall Street regulator and Coinbase.
July 23, 2026
Financial Literacy Key to Spotting Fraud: FINRABoosting such knowledge is tied to greater fraud awareness, according to the regulator's Investor Education survey.