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.
Warren Presses SEC on 2025 Enforcement Numbers
By Melanie WaddellOfficial data has been "unreasonably delayed" as third-party analyses show a decline in activity, the senator says.
March 02, 2026
FINRA Seeks to Revamp Controversial Arbitration RulesPIABA's president called FINRA's comment request "a transparent attempt to gut a host of key investor protection safeguards."
March 02, 2026
FINRA Hits Goldman's Folio With $1.3M FineFolio "failed to conduct reasonable regular and rigorous reviews" of execution quality, according to FINRA.
February 27, 2026
Americans Strongly Support 401(k) Plans, Tax BreaksNearly half of Americans with a 401(k) or similar plan say they probably wouldn't save for retirement otherwise.
February 27, 2026
Wescom Financial to Lay Off 71 in CaliforniaThe credit union, which uses LPL as a broker-dealer and clearing partner, will cut jobs starting April 21.
February 27, 2026
Stifel Faces up to 19 More Claims Tied to Barred BrokerThe BD is also still fighting a cash-sweep lawsuit, according to its annual report.
February 27, 2026
How to Stay Out of TroubleEven if you think you're not hurting anyone, the consequences of bending or breaking the rules can be serious.
February 26, 2026
FINRA Bars Ex-Morgan Stanley Advisor Over Refusal to Share Info for ProbeThe advisor joined an RIA the month after his Morgan Stanley dismissal.