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.
Private Foundations or Donor-Advised Funds? Asking the Right Questions
By Nicole HislerHelping clients maximize their philanthropic efforts is an impactful way to build meaningful, lasting relationships.
March 16, 2026
SEC Enforcement Director Resigns After 6 Months on the JobMargaret Ryan has resigned; Principal Deputy Director Sam Waldon has been named acting director.
March 16, 2026
Senators Raise Alarm About Inexperienced Social Security Staff Fielding Suicide CallsLegislators want answers from the agency's commissioner about troubling staff reassignments and ongoing customer service issues.
March 16, 2026
Treasury Secretary Bessent Exits Acting IRS Commissioner RoleThe IRS CEO position is "a fake job," senators told Bessent, stating an IRS Commissioner nomination has yet to be sent.
March 16, 2026
Prediction Markets Have Arrived. Here's What Advisors Should KnowWhile the regulatory outlook remains uncertain, some advisors have begun to use prediction markets to understand portfolio risks.
March 13, 2026
Ex-Merrill Advisor Gets Annuity Complaint ExpungedThree FINRA arbitrators said the customers "often made spurious complaints and quickly withdrew or dropped them."
March 13, 2026
Judge Strikes Down DOL Fiduciary RuleA federal judge in Texas vacated the rule Thursday. A new rule could come out in May.
March 12, 2026
FINRA to Shorten Wait Times for Retaking ExamsThe regulator's board also approved a plan to provide parties with greater input into replacing arbitrators.