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.
Atkins Faces Ticking Clock as He Reshapes Rules for Wall Street
By Nicola M. White and Lydia BeyoudPaul Atkins came with a long to-do list, but there are few check marks next to those big tasks.
April 15, 2026
Ed Slott: Clients' 2025 Tax Returns Are Key to 2026 PlanningThe returns, which reflect the new tax law, are a "valuable roadmap" for future years, Slott tells ThinkAdvisor.
April 14, 2026
SEC Approves Plan Removing Day-Trading Limit for Small InvestorsPublic feedback "overwhelmingly supported" FINRA's proposal to change the rule, an SEC official wrote.
April 14, 2026
Man Who Extorted His Financial Advisor Loses U.S. CitizenshipThe Italian-born man held the advisor at gunpoint after discovering he was running a Ponzi scheme, DOJ said.
April 14, 2026
Social Security COLA Projected to Jump to 3.2% for 2027Sharply rising gas prices are driving the biggest monthly inflation jump since 2022, says Mary Johnson.
April 13, 2026
'So Far, So Good': Morningstar on Vanguard Under RamjiThe former BlackRock exec has "been pretty busy compared to past CEOs," analyst Daniel Sotiroff says.
April 13, 2026
New Bill Requires IRS to Provide Call Wait TimesThe proposed legislation would also make tax returns and notices available via the agency website or mobile app.
April 10, 2026
Lawmaker Urges SEC to Probe 'Suspicious' Trading Amid Iran WarRegulators should investigate unusual trading activity in oil and equity futures markets, Rep. Ritchie Torres said.