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.
Pontera Expands Platform to Support Non-Discretionary Retirement Advice
By Rob BurgessThe announcement comes amid an ongoing dispute over held-away account access.
September 02, 2026
Fake NFL Player, Phony Advisor Charged With Swindling at Least 26 Women: DOJA teenager posed as a financial advisor for the bogus San Francisco 49er, prosecutors say.
September 01, 2026
SEC Investigating Florida Advisor Facing Millions in Lawsuits: ReportMichael Watkins is accused of defrauding 13 clients.
September 01, 2026
T. Rowe CEO Sees Tax-Loss Harvesting as Opportunity for GrowthCEO Rob Sharps remains confident that the firm's SMA offerings won't draw regulatory scrutiny.
September 01, 2026
Special Needs Plans Are Driving Medicare Advantage GrowthThe hot plans on the menu right now are the ones with a narrow focus.
August 31, 2026
PRO
What the CFP Board's New IRA Rollover Guide Left OutThe organization's breakdown of advisors' fiduciary duties neglects some important tax considerations, planners say.
August 28, 2026
38 Phony Advisors Faked Filings to Lure Investors: SECSeveral of the charged firms are linked to foreign internet addresses, the agency says.
August 28, 2026
Exec Pay Disclosure Plan for Public Firms Advanced by SECChair Paul Atkins has long signaled his intent to overhaul the scope of executive compensation disclosures that have been in place since 1992.