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.
Special Needs Plans Are Driving Medicare Advantage Growth
By Tricia BlazierThe hot plans on the menu right now are the ones with a narrow focus.
August 28, 2026
Exec Pay Disclosure Plan for Public Firms Advanced by SECChair Paul Atkins has long signaled his intent to overhaul the scope of executive compensation disclosures that have been in place since 1992.
August 27, 2026
Ex-Advisor Sentenced to Nearly 6 Years for Wire Fraud, Identity TheftDean Dellas defrauded a 61-year-old man and his 91-year-old mother, according to a parallel civil complaint.
August 27, 2026
9 Must-Know IRS Moves in 2026It's been a busy year for tax planning rules and guidance so far, and more is on the way.
August 27, 2026
Court Upholds SEC Texting Settlement Against Apex ClearingA federal appeals court has denied a petition by Apex Clearing Corp. to modify the $6 million SEC settlement terms.
August 26, 2026
What to Know About High-Risk Structured NotesStructured products can help limit losses, but they can come with steep fees and other downsides.
August 26, 2026
SEC Sends Custody Rule Changes to White House for ReviewThe SEC plan would modernize the regulations around custody of advisor assets, including crypto assets, the filing at OMB says.
August 25, 2026
FINRA Suspends Rep for Excessive Trading in Retiree's AccountGary Talbot of Spartan Capital recommended a series of transactions that violated Regulation Best Interest, an order states.