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-Raymond James Advisor Barred Over Probe Tied to Elderly Clients
By Dinah Wisenberg BrinAfter 26 years in the business, Meredith Archer failed to testify about whether she misappropriated client assets.
July 30, 2025
Social Security Seeks to Limit Phone Services — AgainThe proposed change would result in 3.4 million more people visiting field offices each year, the agency estimates.
July 29, 2025
Tax and Investing Pitfalls Greet Americans Who Move to Europe"Certain investing techniques don’t work here," France-based advisor Robert Levitt tells ThinkAdvisor.
July 29, 2025
In Rare Move, SEC Overturns a FINRA Bar Over Test-TakingAn SEC decision to reduce the rep's bar to a suspension is raising eyebrows.
July 29, 2025
Carson Group Says Ex-CMO Altered Evidence in LawsuitA lawyer for the former executive, Mary Kate Gulick, disputed the accusations.
July 28, 2025
Small-Business Owners Aren't Claiming 401(k) Startup Credits. What Gives?A new analysis shows only about 5.5% of “apparently eligible” firms claim the credit.
July 28, 2025
7 Ways Advisors Stand Out as ProfessionalsWith significant education, training and accountability, wealth managers are more than just salespeople.
July 28, 2025
Ex-Commonwealth Rep Lied About CE: FINRAFrancis Smith, now at Cambridge, was fined and suspended for having someone else complete his CE requirements.