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.
FINRA to Publish Its Enforcement Manual — a First
By Melanie WaddellThe announcement by enforcement head Bill St. Louis was discussed during a House hearing Thursday.
March 04, 2026
Retired Teachers Win FINRA Fight With SchwabThirteen clients were awarded $3.8 million after claiming Schwab "concentrated their accounts in inappropriate holdings."
March 04, 2026
2M Want to Open Trump Accounts: IRSFrank Bisignano, the agency's CEO, also told House lawmakers that the 2026 tax filing season is running "smoothly."
March 04, 2026
Ex-Morgan Stanley Advisor Convicted of Defrauding 3 NBA PlayersDarryl Cohen cheated the pro athletes out of more than $5 million, according to prosecutors.
March 04, 2026
Warsh Nominated for Fed Chair, Path to Confirmation UnclearTrump picked Kevin Warsh to lead the U.S. central bank when Jerome Powell's term expires May 15.
March 04, 2026
Edward Jones Gets OK to Open a BankThe Utah-chartered institution, launching by early 2027, will partner with advisors to bring bank offerings to clients.
March 03, 2026
United Planners Consolidates Its Compliance, Cybersecurity FunctionsIt's using the regtech tool SurgeONE.ai, which helps advisors stay ahead of regulatory exams.
March 03, 2026
Warren Presses SEC on 2025 Enforcement NumbersOfficial data has been "unreasonably delayed" as third-party analyses show a decline in activity, the senator says.