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 Settles With Ex-Miami Dolphin for $1.25M
By Melanie WaddellFormer cornerback Sean Smith had sought $3.5 million in damages tied to a now-barred broker.
May 15, 2026
Why Everyone is Suing the SEC Now — SEC RoundupMarket participants are abandoning the decades-old "settle-and-move-on" playbook, a Vanderbilt Law professor explains.
May 14, 2026
Social Security Wasted Money Chasing Small Overpayments, Watchdog FindsThe agency spent approximately $4.6 million to recover about $2.6 million, its inspector general estimated.
May 14, 2026
Ted Cruz Says Trump Accounts Could Replace Social Security. Retirement Pros Are Skeptical.Consultant Marcia Mantell said she was "livid" at the idea. But advisors' clients have long worried about trust fund solvency.
May 14, 2026
Long-Stalled Crypto Bill Wins Key Senate Committee VoteThe Senate Banking Committee advanced the Clarity Act, which would establish the CFTC as crypto's primary regulator.
May 14, 2026
Fired Edward Jones Advisor Sentenced to 3 Years for Nearly $1M FraudJohn S. Winslow bought his widowed client flowers and chocolate, then used her money to buy luxuries, authorities said.
May 14, 2026
NY Plans New Tax on City Homes Over $1M Bought With CashThe levy is expected to raise $160 million to help fill the city's budget hole.
May 14, 2026
Reg BI Cases Keep IncreasingFINRA brought more actions in 2025 than in previous years, an exec details at its annual conference.