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.
SEC Fines Surge on Biden Enforcements Now Shifting Under Trump
By Nicola M. WhiteSEC fines and investor relief doubled to $17.9 billion in the 2025 fiscal year, the agency said.
April 07, 2026
Wall Street Watchdogs Pull Back Amid Trump's Deregulatory PushCritics of deregulation worry about what may fall through the cracks.
April 07, 2026
Morgan Stanley Plans Private Credit Fund Even as Investors FleeThe North Haven Strategic Credit Fund may include "a wide spectrum of credit strategies," an SEC filing states.
April 07, 2026
Medicare Advantage Program Managers Blink on 2027 Subsidy IncreaseInsurer groups' cautious reaction suggests that turbulence for enrollees may still lie ahead.
April 06, 2026
FINRA Slams J.P. Morgan Securities With $3.25M Fine Over Rep's Risky StrategyThe rep used a complex investment strategy involving concentrated positions in high-yield securities as well as leverage.
April 06, 2026
Jeremy Siegel: Stocks Could Face More PressureWhile the economist remains bullish longer term, he voices caution for now.
April 06, 2026
Should Social Security Benefits Be Capped?The Committee for a Responsible Federal Budget is calling for a limit based on marital status and claiming age.
April 06, 2026
SEC Claims Deceased Advisor Stole $1.68M From Elderly, Sues EstateThe agency is suing the estate of John Brodacki, who died in March, to claw back funds it says he took from clients.