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.
CFTC Sues States Over Prediction Markets in 'Unprecedented' Move
By J.J. McCorvey and Nicola M. WhiteCFTC is asserting federal authority over these fast-growing markets with lawsuits against Illinois, Connecticut and Arizona.
April 02, 2026
Cambridge to Pay $280K Over Annuity SwitchesThe firm missed 22 "inappropriate exchanges" by a former rep because it lacked proper review, FINRA states.
April 01, 2026
More Than 4M Children Signed Up for Trump Accounts: IRSTaxpayers can enroll by filling out a one-page form when filing their return, the agency head says.
April 01, 2026
Trust Sues Voya Over $1.4M Retirement Fund PayoutThe firm issued a check from a deceased employee's 401(k) instead of rolling it over, the complaint claims.
March 31, 2026
FINRA Launches Cyber PortalThe platform "will collect, analyze and disseminate threat intelligence" to help broker-dealers respond to attacks, the regulator says.
March 31, 2026
FINRA Ousts Ex-Raymond James Broker Fired Over Handling of Wife's IRAWilliam Steven Cooke's wife alleged he made unauthorized trades and signed her name to move cash.
March 30, 2026
DOL Proposes Adding Variable Annuities to 401(k) Plan Default Option ListA fiduciary would have to show that the benefits from reducing plan participant liquidity justified the impact.
March 30, 2026
Senator Seeks Answers on SEC Enforcement Head's Sudden ResignationSen. Blumenthal asks whether her exit was related to crypto cases, including one touching on the Trump family's ventures.