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 Targets Auditing 'Bad Actors' With New Enforcement Team
By Nicola M. WhiteThe unit will investigate and litigate matters tied to potential violations of Sarbanes-Oxley auditing standards and provisions.
March 18, 2026
DOL Won't Float a New Fiduciary RuleLabor said it has restored ERISA's five-part test for determining who is an investment advice fiduciary.
March 18, 2026
FINRA Bars Rep for Cheating on SIE ExamThe rep looked at photos of study materials for the entry-level test on his phone, the regulator found.
March 18, 2026
FINRA's Top 5 Fine Categories in 2025Total fines increased in 2025 while the number of cases fell, Eversheds Sutherland's analysis finds.
March 18, 2026
Wade Pfau: Watch Out for These Tax Pitfalls in Clients' Retirement PlanningProper tax planning can mean hundreds of thousands more dollars for clients in retirement, the professor tells ThinkAdvisor.
March 17, 2026
SEC, CFTC Move to Define Which Digital Assets are SecuritiesA long-awaited "token taxonomy" carves out payment stablecoins, digital collectives and digital commodities as non-securities.
March 17, 2026
Second Judge Vacates DOL Fiduciary Rule, Dealing Death BlowThe decision "closes the chapter" on the Biden administration's "legally flawed" rule, the insurance industry plaintiffs said.
March 17, 2026
Inside the 2026 Enforcement Manual Updates: SEC RoundupA 15-year SEC veteran breaks down what's actually changed — and what it means for advisors, BDs and defense practitioners.