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.
Supreme Court Rejects Bid to Review SEC's Rescinded 'Gag Rule'
By Nicola M. WhiteThe now-rescinded SEC policy forced people and companies settling enforcement cases to never publicly criticize or contest SEC claims.
June 26, 2026
House Passes Financial Exploitation Prevention ActThe bill would allow advisors and firms to delay suspicious transactions if they believe financial exploitation has occurred.
June 25, 2026
Two Sales Agents Settle With SEC in Alleged $56M Ponzi SchemeOne raised millions through a purported family office, while the other promoted fraudulent notes on his radio show, the SEC says.
June 25, 2026
SEC Sends E-Delivery Rule to White House for ReviewSEC Chair Paul Atkins has said he's asked agency staff to draft a "broader" e-delivery rule.
June 24, 2026
FINRA Ousts Morgan Stanley Broker Fired for Allowing Third-Party Access to Client's AccountJames Fredrick Tighe refused to testify about the allegations, FINRA says.
June 24, 2026
Commonwealth Hit With Class-Action Suit Over Cash SweepsThe complaint claims breach of fiduciary duty, breach of contract, violations of consumer protection statutes and unjust enrichment.
June 24, 2026
Edward Jones Partners With Fraud Alert PlatformCarefull helps monitor client accounts for warning signs such as suspicious transactions.
June 23, 2026
Fidelity to Facilitate Trump Account RolloversThe financial giant says families can transfer accounts starting later this year.