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.
Jefferies Advisor in Miami Barred by FINRA
By Donal Griffin and Katherine DohertyThe former wealth advisor refused to provide the regulator with information it had requested.
July 07, 2025
Debate: Should 401(k)s Allow Private Equity Investments?A potential executive order would direct Labor and the SEC to identify ways to integrate nontraditional options.
July 02, 2025
401(k) Warning: Don't Confuse 'After-Tax' With RothWhen a 401(k) account contains both pre- and after-tax dollars, the pro rata rule applies to distributions.
July 02, 2025
Remote FINRA Inspections Raise Misconduct Risk: PIABAFully remote supervision and inspections of home offices would undermine investor protection, the attorney group says.
July 01, 2025
Rep Fined, Suspended for Not Disclosing Outside Business ActivityThe rep was a trustee to the estate of a deceased Cambridge customer without prior notice, FINRA says.
July 01, 2025
Ex-LPL Advisor Suspended After Family Named as Client's BeneficiariesA client designated the advisor's wife as primary beneficiary on six LPL accounts, FINRA says.
June 30, 2025
SEC in Talks to Raise AUM Threshold for Advisor RegistrationDiscussions are happening between the SEC and the states, sources say.
June 30, 2025
The Rise of Human-AI Teams in Life InsuranceAI can elevate consumer trust by making Reg BI possible.