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.
Cambridge Fined $200K for Failing to Quash UIT Trading
By Melanie WaddellA rep's costly recommendations violated Reg BI, a FINRA order states.
April 30, 2026
Trump Orders Creation of IRA Comparison SiteTrumpIRA.gov will go live Jan. 1, 2027, and allow workers to compare private-sector IRAs, Trump's order states.
April 30, 2026
FINRA Releases One-Year Progress Report on Rulebook RevampThe report details measures that have been finalized as well as those that are in the works.
April 30, 2026
Trump Account Match Will Be a Common Employee Perk: Sen. Cruz"Trump accounts are 401(k)s for kids," Ted Cruz said Thursday at an ICI event.
April 30, 2026
Medicare's Donut Hole Closed, but Enrollees Still Have Bills to PayFor many retirees, the prescription drug expenses peak at beginning of the year.
April 29, 2026
Judge Enters Final Order in 'Dr. Cash' Ponzi SchemeAn unregistered advisor serving three years in prison must pay $1.7 million related to a fictitious investment fund.
April 28, 2026
The Real Reason DOL Is Clearing the Way for Alts in 401(k)sLabor's plan is meant to stem the tide of ERISA lawsuits, attorneys and retirement industry officials say.
April 28, 2026
Tax Court Allows Loan Interest Deduction in Life Policy Termination CaseThe judge also kept the IRS from imposing a failure-to-pay penalty.