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.
Labor Secretary Leaves Cabinet Amid Investigation
By Josh Wingrove and Laura DavisonLori Chavez-DeRemer is accused of committing travel fraud and drinking at work.
April 20, 2026
SEC Asks Court to Toss Accredited Investor Rule SuitA complaint, brought in September, challenges the income and net worth thresholds in the agency's accredited investor definition.
April 20, 2026
Stifel Settles With Investors in Structured Notes CaseThe investors won a $133M arbitration award tied to barred broker Chuck A. Roberts' risky strategy.
April 17, 2026
Barred Oregon Broker Accused of Stealing Over $1.6M From ClientsJeffrey Thomas Higgins is charged with selling clients' stock and taking the proceeds over roughly 17 years.
April 17, 2026
IRS Releases Tool to Help Taxpayers Resolve DebtTax Debt Help explains payment options as well as how to settle debt for less than is owed.
April 16, 2026
RMD Rules After Divorce Might Surprise Your ClientsUsing a qualified domestic relations order to divide retirement assets doesn't always create a clean break.
April 16, 2026
Private Markets Belong in 401(k)sThe defined contribution retirement system should reflect how modern capital markets actually function.
April 16, 2026
SEC Seeks Comments on Reining in CATThe agency wants feedback on Consolidated Audit Trail funding and cost management and the regulatory purpose of the database.