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.
CFP Board Seeks Comments on Criminal Expungement
By Melanie WaddellThe board is proposing to treat the expungement of a conviction as a "mitigating factor" that could stop an applicant from being barred.
July 21, 2026
IRS Chief Denies Report He Spied on Colleagues While at JPMorganFrank Bisignano snooped on rival executives' emails while co-COO at the bank, The Wall Street Journal reported.
July 21, 2026
U.S. Considers Creating FINRA-Like Watchdog to Vet Top AI ModelsThe plan would create an independent regulatory agency for AI that would report to the SEC.
July 20, 2026
Why FINRA Is Requiring Less Exam Data From BDsThe regulator has reduced data requests for exams by 12% and will examine lower-risk firms less frequently.
July 20, 2026
PRO
Are You Making These Compliance-Related Annuity Mistakes?Failing to understand a client's needs and not documenting why the product is suitable are just two concerns, advisors say.
July 17, 2026
Buffett: Hard to Find Good Stock Buys When People Like GamblingThere's more money in cultivating gamblers than in cultivating investors, the former Berkshire Hathaway CEO lamented.
July 17, 2026
BD to Pay $1.1M Over Variable Annuity ExchangesA rep at the firm, Centarus Financial, was also suspended for recommending 88 unsuitable VA exchanges, a FINRA order states.
July 16, 2026
Is a Spousal Trust the Right Estate Planning Strategy for Your Client?SLATs provide flexibility and tax benefits, but the increase in the lifetime estate and gift tax exclusion has shifted the conversation.