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.
New Bill Allows RIA Clients to Qualify as Accredited Investors
By Melanie WaddellIndustry trade groups applauded the Informed Investor Access Act.
July 01, 2026
House Panel Advances SEC Restructuring BillThe legislation would require the agency to review major rules once implemented and reduce offices.
June 30, 2026
SEC to Conduct Broad Enforcement ReviewChair Paul Atkins says the agency is "redirecting resources toward the types of misconduct that inflict the greatest harm."
June 30, 2026
SEC Mulls New ETF Rules as $16T Boom Disrupts Status QuoThe SEC is signaling a potential rethink of how it oversees ETFs after a wave prediction-market ETF filings.
June 30, 2026
New TaxStatus Tool Spots Planning Opportunities in Clients' IRS Records — Without AIThe offering plumbs tax forms to uncover life events like a job change or inheritance.
June 30, 2026
Trump Nominates Acting Secretary to Head DOLKeith Sonderling has been acting Labor secretary since Lori Chavez-DeRemer resigned in April.
June 29, 2026
Merrill to Pay $7.5M for Failing to File Suspicious Activity ReportsMerrill failed to investigate certain types of events under a BofA risk scoring system, the SEC said.
June 29, 2026
RIA Must Pay SEC $75K Over Custody Rule ViolationsNortheast Financial Group failed to conduct financial statement audits of private funds that the firm advised.