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.
9 Key Tax Considerations for Newlyweds
By John ManganaroClients should consider a number of important tax-related actions as soon as possible after marriage.
June 26, 2025
Wisconsin 'Advisor' Bought 300 Snowmobiles With Client Money: ProsecutorsStanley Pophal is accused of luring at least 120 investors to buy promissory notes in a $15 million scheme.
June 26, 2025
FINRA Sanctions Clearing Firm Exec for Sending Thousands of WeChat MessagesBingshan Song of Velox Clearing was suspended and fined $25,000.
June 26, 2025
SEC Kicks Off Review of Rules Governing Executive Pay and PerksIt may overhaul rules affecting the disclosures of compensation, including bonus clawbacks.
June 25, 2025
Ex-Advisor Gets 8 Years for Bilking Clients, Widowed AuntScott Mason of Pennsylvania had pleaded guilty to misappropriating $17 million.
June 25, 2025
FINRA Seeks to Align BD, Advisor Portfolio Performance ProjectionsFINRA's board approved changes to its Communications With the Public rule to better align with the SEC's Marketing Rule.
June 24, 2025
Staff Gone Rogue: Federal Action Without Commission Approval — SEC RoundupAdministrative proceedings are continuing with the same flaws, with the Enforcement Division apparently emboldened to act without SEC authorization.
June 24, 2025
Ex-CFA Institute Executive Charged With Embezzling MillionsMichael J. Collins was arrested Monday on an eight-count indictment by the Manhattan district attorney’s office.