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.
IRS Starts to Implement a Long-Term Care Insurance Tax Incentive
By Allison BellThe new guidance will help employers remind employees that old age happens.
May 20, 2026
Black Edward Jones Advisors Are Set Up to Fail, Class-Action Suit AllegesWhite financial advisors receive better asset transfers and compensation, according to a suit by six former advisors.
May 20, 2026
Barney Frank, Key Lawmaker During Financial Crisis, Dies at 86He co-authored the sweeping Dodd-Frank Act that overhauled U.S. financial regulation.
May 19, 2026
BD Fined $100K Over Deferred VA ExchangesWorld Investments failed to supervise recommendations of annuity switches, FINRA finds.
May 19, 2026
FINRA Launches Structured Notes SweepThe regulator is zeroing in on Reg BI obligations tied to non-principal protected "worst-of" structured notes.
May 18, 2026
Broker Accused of Trading in Dead Client's AccountJohn Polemis also took $28,000 in loans from the client and didn't repay him, FINRA alleges.
May 15, 2026
Merrill Settles With Ex-Miami Dolphin for $1.25MFormer cornerback Sean Smith had sought $3.5 million in damages tied to a now-barred broker.
May 15, 2026
SEC to Remain 'Active' in Pursuing Advisor CasesThe agency will also focus on retail investor fraud, according to its new enforcement chief, David Woodcock.