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 Approves FINRA's Outside Business Activity Plan
By Melanie WaddellThe approval hands a "big win" to dually registered advisors, says lawyer Brian Rubin.
September 16, 2026
Breaking Down the SEC's New Crypto ProposalFor advisors, Regulation Crypto Assets is a signal that the agency is moving forward on crypto.
September 15, 2026
New Bill Would Let IRS Use AI to Detect Tax FraudThe AI Tax Integrity Act would test the potential of using artificial intelligence to spot inaccurate tax returns.
September 15, 2026
SEC Urges Advisors to Fine-Tune Compliance ReviewsA risk alert points to ongoing challenges in keeping in step with the Compliance Rule.
September 14, 2026
LPL Courts Lawmakers to Hash Out PrioritiesTom Gannon, the firm's chief advocacy officer, discusses four policy issues that are top of mind for advisors.
September 14, 2026
How to Modernize Digital Workflows and Reduce Off-Channel RiskCombing clear policies with consistent procedures is not compliance as burden; it's compliance as practice infrastructure.
September 11, 2026
Schwab Must Pay $1.3M After Scam Snags Elderly ClientFunds were wired from an 82-year-old customer's trust account to a crypto firm, his sons' lawyer says.
September 11, 2026
Variable Universal Life Sales Climb 24.5% in Q2Buyers favored the potential for growth over stability, Wink issuer survey data reports.