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.
Merrill to Pay $225K for Not Reporting Client Complaints
By Melanie WaddellThe firm failed to report thousands of customer issues made through its call and support centers, FINRA finds.
June 12, 2026
Ken Leech Pleads Guilty to Obstructing SEC Probe Into $600M TradesThe former star bond trader admitted at a court hearing that he lied to the Securities and Exchange Commission.
June 11, 2026
SEC Proposes to Scrap Trade-Through Rule for Equities ExecutionSEC Chairman Paul Atkins has been a critic of the rule since its inception.
June 11, 2026
Trump Taps Wall Street Top Cop Jay Clayton as Intelligence ChiefThe move follows the president's controversial selection of housing regulator Bill Pulte to serve in the role on an acting basis.
June 11, 2026
Stifel's Rogue Broker Fiasco Highlights Risks of Structured Notes"It appears as though the inmates were running the asylum with respect to this product," a plaintiffs attorney says.
June 11, 2026
How to Explore Annuities' Private Credit HoldingsThe assets in life and annuity contracts "can materially influence both performance and risk," wealth advisor Ryan Patton says.
June 10, 2026
Fidelity Picks Nationwide, New York Life for Target Date Lifetime Income ProgramThe new program will use a different legal framework than Fidelity's existing in-plan annuitization options.
June 10, 2026
Professional Investors Pan SEC Reporting Overhaul in SurveyAlmost two-thirds of investment analysts and portfolio managers said the SEC should keep mandatory quarterly financial reporting.