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 Bars Ex-Northwestern Mutual Employee Over Faked Exam Score
By Dinah Wisenberg BrinWillnard Love lied to his firm about passing the Securities Industry Essentials exam, the regulator found.
July 25, 2025
Advisor Charged With Conning Venezuelans, Others in $94M Ponzi SchemeSeparately, the SEC accused Andrew Jacobus of swindling clergy and Catholic groups of $3.2 million.
July 24, 2025
12 States Where It Takes the Most Income to Be in the Top 1%While economic conditions vary, it takes $731,492 on average to be part of this elite group, SmartAsset reports.
July 23, 2025
Social Security to Keep Paper ChecksSen. Elizabeth Warren said Wednesday that she has received key commitments from SSA Commissioner Frank Bisignano.
July 23, 2025
Ex-Schwab Rep Hid Profit-Sharing Agreement With Client: FINRADaniel Michael Roper made more than 20,300 trades in exchange for a cut of the profits, the regulator says.
July 23, 2025
Morgan Stanley Faces FINRA Probe on Client Vetting: WSJThe probe includes a request for information on U.S. and international clients of the firm’s wealth unit.
July 23, 2025
Advisor Fined for Impersonating Clients on CallsNo clients were harmed, Chad Rogers of Oklahoma told FINRA.
July 23, 2025
House Passes 2 SEC BillsUnder the bills, the SEC would create a senior investor task force and update its small business definition.