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.
How RIAs Can Prepare for AI Cyber Crime
By Melanie WaddellMichael Brice, founder and president of BW Cyber, sees major concerns on the security horizon.
October 23, 2026
7 Top SEC Exam Priorities for 2027An "explicit focus on fraud detection and bad actors" is absent from the just-released list, lawyer Nick Morgan says.
October 23, 2026
Barred Advisor Pleads Guilty to $3.3M Fraud Against LPL, Fidelity, TD AmeritradeAndrew Komarow pleaded guilty to wire fraud, which carries a maximum 20-year prison term, DOJ said.
October 22, 2026
6 SEC Rules That Could Pass by Year-EndSome proposals released in 2026 affecting the advisory industry won't get through, but others stand a good chance.
October 22, 2026
FINRA Hits BD With $100K Fine Over Reg BI FailuresThe firm failed to detect and address red flags of excessive trading in three customer accounts, an order states.
October 22, 2026
Ex-LPL Advisor Charged With Wire FraudWilliam Bernard Tunink, now barred from the industry, defrauded more than 50 investors, Iowa prosecutors say.
October 21, 2026
5 Compliance Questions to Ask Before Choosing an AI PlatformFor RIAs and wealth firms, the burgeoning number of options can make vendor selection feel overwhelming.
October 21, 2026
Pay-to-Play's Paper Repeal: SEC RoundupHardy Callcott, a former SEC assistant general counsel, weighs in on what the repeal actually changes inside an advisory firm.