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.
Trump $2.2T Budget Leaves Social Security Funding Flat
By Melanie WaddellThe fiscal proposal provides slightly less for the agency than the $14.9 billion requested by its commissioner.
April 03, 2026
Treasury to Talk to Insurance Regulators About Private Credit MarketsThe Congressional Research Services says U.S. insurers have 8% of their assets in private credit.
April 03, 2026
CFTC Sues States Over Prediction Markets in 'Unprecedented' MoveCFTC is asserting federal authority over these fast-growing markets with lawsuits against Illinois, Connecticut and Arizona.
April 03, 2026
Ex-Merrill Rep Suspended, Fined After Firing Over False StatementsMark S. Sorrell, who was dismissed by Merrill in 2024, knew a client lacked sufficient funds to buy a home.
April 02, 2026
Case Opens Door to COVID-Era Tax Refund ClaimsMany taxpayers may be entitled to significant refunds for late payments, late filings and other penalties.
April 02, 2026
Cambridge to Pay $280K Over Annuity SwitchesThe firm missed 22 "inappropriate exchanges" by a former rep because it lacked proper review, FINRA states.
April 01, 2026
More Than 4M Children Signed Up for Trump Accounts: IRSTaxpayers can enroll by filling out a one-page form when filing their return, the agency head says.
April 01, 2026
Trust Sues Voya Over $1.4M Retirement Fund PayoutThe firm issued a check from a deceased employee's 401(k) instead of rolling it over, the complaint claims.