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 Lays Out Exam Ground Rules
By Melanie WaddellA new exam handbook details what to expect, including some new or clarified terms.
October 01, 2026
SEC Releases New Custody Rule for CommentThe new rules and amendments provide "a tailored framework for the custody of crypto assets" for RIAs, the SEC said.
October 01, 2026
Senate Confirms Sonderling as Labor SecretaryThe former deputy secretary will lead a department facing scrutiny over fake support for alts in 401(k)s.
October 01, 2026
Treasury Auto-Enrolls 60M Children in Trump AccountsAll eligible children under 18 now have an account ready to be claimed, Treasury Secretary Scott Bessent says.
October 01, 2026
Stifel Pays Another $30M Over Barred Broker's Structured Notes StrategyThe financial services firm has paid more in damages in disputes tied to Chuck Roberts' investment approach.
September 30, 2026
SEC Floats Plans to Expand RIA Performance Fees, Accredited Investor PoolThe proposals are intended to broaden access to private markets.
September 30, 2026
SEC Censures, Fines Zoe Financial Over Alleged Conflicts of InterestThe referral service failed to fully disclose conflicts around a sub-advisory it operates, according to the agency.
September 29, 2026
FINRA Bars Ex-LPL Rep for Taking $1.7M From ClientsRudy Anguiano transferred funds from two investors' accounts into his own company's bank account, an order states.