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.
Fidelity to Launch Its First Mutual Fund ETF Share Classes
By Dinah Wisenberg BrinThe share classes will be added to municipal income, real estate and short-term bond mutual funds.
June 12, 2026
Wall Street Races to Turn SpaceX IPO Into Leveraged ETFsNearly a dozen funds from ProShares, Direxion and other firms are slated to launch on Monday.
June 12, 2026
Ken Leech Pleads Guilty to Obstructing SEC Probe Into $600M TradesThe former star bond trader admitted at a court hearing that he lied to the Securities and Exchange Commission.
June 11, 2026
SEC Proposes to Scrap Trade-Through Rule for Equities ExecutionSEC Chairman Paul Atkins has been a critic of the rule since its inception.
June 11, 2026
Trump Taps Wall Street Top Cop Jay Clayton as Intelligence ChiefThe move follows the president's controversial selection of housing regulator Bill Pulte to serve in the role on an acting basis.
June 11, 2026
PRO
Stifel's Rogue Broker Fiasco Highlights Risks of Structured Notes"It appears as though the inmates were running the asylum with respect to this product," a plaintiffs attorney says.
June 11, 2026
PRO
How to Explore Annuities' Private Credit HoldingsThe assets in life and annuity contracts "can materially influence both performance and risk," wealth advisor Ryan Patton says.
June 10, 2026
Fidelity Picks Nationwide, New York Life for Target Date Lifetime Income ProgramThe new program will use a different legal framework than Fidelity's existing in-plan annuitization options.