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.
Oppenheimer in Hot Water for Miscategorizing CMOs: FINRA
By Melanie WaddellThe firm was fined $250,000 for identifying securities from private entities as government agency bonds.
May 05, 2026
SEC Unveils Proposal to Allow for Semiannual ReportingIf ultimately adopted, the plan "would provide companies with increased regulatory flexibility," said SEC Chair Paul Atkins.
May 04, 2026
SEC Chief Pans Texting Probe, Calls ETF Share Class Relief a Massive Tax BreakThe SEC's new enforcement approach focuses not on quanity, but on quality of cases, Paul Atkins says.
May 04, 2026
Police Seek Suspect After Wells Fargo Robbery Attempt Near Las VegasPolice in Henderson, Nevada, are still searching for a man who attempted to rob a Wells Fargo branch.
May 01, 2026
Debate: Will This Bill Make Employee Benefits More Helpful?In proposed legislation, employees could elect tax-free employment benefits under a wider array of options.
May 01, 2026
Cambridge Fined $200K for Failing to Quash UIT TradingA rep's costly recommendations violated Reg BI, a FINRA order states.
May 01, 2026
Medicare Portal Exposed Providers' Social Security Numbers: ReportThe database was created by the Centers for Medicare and Medicaid Services to help seniors look up medical providers.
May 01, 2026
SEC Semiannual Reporting Proposal Clears White House ReviewThe SEC plan to let public companies cut quarterly disclosures to twice a year moved closer to reality.