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.
Widow Wins $1.2M From UBS Over Annuity, Margin Loan
By Melanie WaddellThe advisor's recommendations and management style resulted in the client "essentially breaking even" over 11 years, her lawyer says.
May 08, 2026
Robinhood Can Skip Sending Form CRS to Trump Account Holders: SECThe SEC issued no-action relief Tuesday; Robinhood will be the sole BD and initial trustee to Trump accounts.
May 07, 2026
Wall Street Firms Post Dozens of Crypto Jobs — With a CatchApplicants can't just have experience in bitcoin trading or blockchain development. Traditional finance, or "tradfi," experience is needed.
May 07, 2026
How to Avoid the Costliest IRA MistakesExcise taxes, penalties and loss of tax-deferred status are among the consequences of IRA errors, Denise Appleby says.
May 07, 2026
Gundlach Warns Investors Will Lose Money on Private Credit FundsThe DoubleLine CEO suggests financial advisors are ushering investors into private credit due to high fees, not client interests.
May 06, 2026
FINRA Is Giving BDs a Heads-Up About ExamsBroker-dealers can also receive test findings earlier, officials with the regulator note on a recent podcast.
May 06, 2026
Oppenheimer in Hot Water for Miscategorizing CMOs: FINRAThe firm was fined $250,000 for identifying securities from private entities as government agency bonds.
May 06, 2026
Morgan Stanley Debuts Crypto Trading, Undercuts Rivals on PriceMorgan Stanley charges 50 basis points on the dollar value of each crypto transaction, less than Robinhood and Schwab.