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.
FINRA's BrokerCheck Now Links to Derivatives Industry Database
By Melanie WaddellThe tool connects to the National Futures Association's Background Affiliation Status Information Center, or BASIC.
September 21, 2026
Schwab Ordered to Pay $4.5M to Retirees Over Complex ProductsThe award, to retired teachers and school board employees, was the biggest ever granted to Schwab customers, a lawyer says.
September 18, 2026
Firms Cheer FINRA's Comms Plan but Call for More AI ClarityFidelity and Schwab were among firms weighing in on how FINRA should regulate AI.
September 18, 2026
UBS Rep Cheated on Series 66 Exam During Bathroom Break: FINRAShay Donovan was suspended and fined for accessing personal notes and study materials, an order states.
September 17, 2026
House Financial Services Backs Life and Annuity Registration Form BillThe highest-ranking Democrat on the panel thinks the measure could limit the SEC's ability to regulate the products' disclosures.
September 17, 2026
NYLife Rep Fired Over Outside Activities Gets Boot From FINRAGerald J. Page declined to produce documents for an investigation of his conduct, according to the regulator.
September 17, 2026
Ex-Broker Sentenced to 9 Years for Long-Running $9.5M Ponzi SchemeEdwin Emmett Lickiss Jr., 78, pleaded guilty earlier to wire fraud and money laundering.
September 17, 2026
House Passes Tax Relief for Fraud Victims ActThe bill would waive penalties for early withdrawals from qualified retirement accounts due to fraud or deceit.