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 Suspends NYLife Rep Fired for Falsifying Documents
By Melanie WaddellKim Thien Tran, suspended for nine months and fined $5,000, also commingled customer funds, an order states.
July 06, 2026
Debate: Do HSAs Address Healthcare Affordability Gaps?Many Republicans in Congress have advocated for expanding health savings accounts as a solution to the affordability issue.
July 06, 2026
PRO
These Funds Are Quietly Gobbling Up Retirement Plan AssetsCollective investment trusts are showing up on more and more employers' plan menus. Here's what advisors should know.
July 06, 2026
IRS Launches Trump Accounts App, Allows Philanthropic Stock GiftsSocial Security is also updating guidance to hospitals to include enrollment information for parents of newborns.
July 06, 2026
New Bill Allows RIA Clients to Qualify as Accredited InvestorsIndustry trade groups applauded the Informed Investor Access Act.
July 06, 2026
FINRA Shortens Wait Times for Retaking ExamsThe changes, effective immediately, apply to all of the regulator's qualification assessments.
July 01, 2026
PRO
Ed Slott: Brush Up on OBBBA and Trump Accounts — NowClients will ask about these developments, the tax expert says, as a way to "judge their advisor's competence."
July 01, 2026
House Panel Advances SEC Restructuring BillThe legislation would require the agency to review major rules once implemented and reduce offices.