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 Markets Belong in 401(k)s
By Edmund F. Murphy IIIThe defined contribution retirement system should reflect how modern capital markets actually function.
April 15, 2026
DOL Retirement Unit Chief Sets Enforcement PrioritiesDaniel Aronowitz, head of EBSA, states in a new bulletin that EBSA will not use enforcement to drive policy.
April 15, 2026
Wall Street Banks Cut 5,000 Jobs Even as They Notched Record ProfitsThe bulk of the cuts were at Wells Fargo, followed by Citigroup and Bank of America.
April 15, 2026
Ed Slott: Clients' 2025 Tax Returns Are Key to 2026 PlanningThe returns, which reflect the new tax law, are a "valuable roadmap" for future years, Slott tells ThinkAdvisor.
April 14, 2026
SEC Approves Plan Removing Day-Trading Limit for Small InvestorsPublic feedback "overwhelmingly supported" FINRA's proposal to change the rule, an SEC official wrote.
April 14, 2026
Man Who Extorted His Financial Advisor Loses U.S. CitizenshipThe Italian-born man held the advisor at gunpoint after discovering he was running a Ponzi scheme, DOJ said.
April 14, 2026
Social Security COLA Projected to Jump to 3.2% for 2027Sharply rising gas prices are driving the biggest monthly inflation jump since 2022, says Mary Johnson.
April 13, 2026
'So Far, So Good': Morningstar on Vanguard Under RamjiThe former BlackRock exec has "been pretty busy compared to past CEOs," analyst Daniel Sotiroff says.