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 Convicted of Defrauding 3 NBA Players
By Dinah Wisenberg BrinDarryl Cohen cheated the pro athletes out of more than $5 million, according to prosecutors.
March 03, 2026
United Planners Consolidates Its Compliance, Cybersecurity FunctionsIt's using the regtech tool SurgeONE.ai, which helps advisors stay ahead of regulatory exams.
March 03, 2026
Warren Presses SEC on 2025 Enforcement NumbersOfficial data has been "unreasonably delayed" as third-party analyses show a decline in activity, the senator says.
March 03, 2026
SEC Pushes Back Against New Wave of High-Leverage ETF PlansAt stake is whether a new generation of ETFs comply with regulatory limits governing fund risk relative to assets.
March 02, 2026
Firm Acquired by Mariner Alleges Fraud, Breach of ContractIn a lawsuit, James Hyre says Mariner broke promises of significant compensation and support after buying his Ohio firm.
March 02, 2026
FINRA Seeks to Revamp Controversial Arbitration RulesPIABA's president called FINRA's comment request "a transparent attempt to gut a host of key investor protection safeguards."
March 02, 2026
FINRA Hits Goldman's Folio With $1.3M FineFolio "failed to conduct reasonable regular and rigorous reviews" of execution quality, according to FINRA.
February 27, 2026
Americans Strongly Support 401(k) Plans, Tax BreaksNearly half of Americans with a 401(k) or similar plan say they probably wouldn't save for retirement otherwise.