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.
SEC Commissioner Hester Peirce to Exit
By Melanie WaddellThe SEC's "Crypto Mom" will leave the agency in November to teach at Regent University.
May 20, 2026
Citi Discloses Over 300 New York Layoffs, Part of Ongoing Job CutsThe banking giant has been moving to eliminate 20,000 positions over two years.
May 20, 2026
Black Edward Jones Advisors Are Set Up to Fail, Class-Action Suit AllegesWhite financial advisors receive better asset transfers and compensation, according to a suit by six former advisors.
May 20, 2026
Barney Frank, Key Lawmaker During Financial Crisis, Dies at 86He co-authored the sweeping Dodd-Frank Act that overhauled U.S. financial regulation.
May 19, 2026
BD Fined $100K Over Deferred VA ExchangesWorld Investments failed to supervise recommendations of annuity switches, FINRA finds.
May 19, 2026
FINRA Launches Structured Notes SweepThe regulator is zeroing in on Reg BI obligations tied to non-principal protected "worst-of" structured notes.
May 18, 2026
Broker Accused of Trading in Dead Client's AccountJohn Polemis also took $28,000 in loans from the client and didn't repay him, FINRA alleges.
May 15, 2026
Merrill Settles With Ex-Miami Dolphin for $1.25MFormer cornerback Sean Smith had sought $3.5 million in damages tied to a now-barred broker.