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.
E-Delivery Rule Will Be 'Broader': SEC Chief
By Melanie WaddellThe SEC's e-delivery approach will apply across BDs and investment advisors, Atkins said at FINRA's annual conference.
May 11, 2026
New Bill Creates Savings Accounts for Skills TrainingEmployers and employees could contribute to tax-advantaged accounts to fund education and training expenses.
May 08, 2026
Vanguard, BlackRock, Invesco Push for Invest Act PassagePolicy experts at the asset managers are awaiting Senate action on legislation that expands the accredited investor definition.
May 08, 2026
Robinhood Can Skip Sending Form CRS to Trump Account Holders: SECThe SEC issued no-action relief Tuesday; Robinhood will be the sole BD and initial trustee to Trump accounts.
May 07, 2026
Wall Street Firms Post Dozens of Crypto Jobs — With a CatchApplicants can't just have experience in bitcoin trading or blockchain development. Traditional finance, or "tradfi," experience is needed.
May 07, 2026
How to Avoid the Costliest IRA MistakesExcise taxes, penalties and loss of tax-deferred status are among the consequences of IRA errors, Denise Appleby says.
May 07, 2026
Gundlach Warns Investors Will Lose Money on Private Credit FundsThe DoubleLine CEO suggests financial advisors are ushering investors into private credit due to high fees, not client interests.
May 06, 2026
FINRA Is Giving BDs a Heads-Up About ExamsBroker-dealers can also receive test findings earlier, officials with the regulator note on a recent podcast.