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-Morgan Stanley Advisor Sentenced to 12 Years in Fraud Scheme
By Dinah Wisenberg BrinJesus Rodriguez of El Paso, Texas, spent clients' money on himself, including a Lamborghini purchase, authorities found.
March 31, 2025
Most Americans Fear Scammers Will Steal Their Tax Returns in 2025Some victims wait nearly two years to recover stolen refunds, an Allstate survey finds.
March 31, 2025
How Staff Cuts and Office Shakeups Could Affect Social Security BeneficiariesThe number of field offices may not fall dramatically, experts say, but service strains are possible.
March 31, 2025
FINRA Bars Ex-LPL Rep Over Texting, Outside Business ActivityDerek Lee Copeland participated in private securities transactions and exchanged over 2,250 business-related communications, FINRA found.
March 31, 2025
New Social Security Phone Policy Q&A Fails to Clear Up Confusion, Advocates SayThe page, What to Know About Proving Your Identity, purports to answer questions about new benefit claiming rules.
March 31, 2025
Musk’s DOGE Staffers Arrive at SEC to Hunt for Spending CutsSEC staff were instructed to treat Musk advisors as internal employees, according to an email.
March 28, 2025
Social Security Is Not Giving Straight Answers on Field Office ClosuresThe agency's leader says it's not closing field offices, but a Social Security advocate calls that claim "deceptive."
March 28, 2025
'Naming and Shaming' Discourages Advisor Misconduct: StudyNew research found that firms with high misconduct rates cleaned up their acts after their names were published.