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.
IRS Launches Web Page to Report Fraud
By Melanie WaddellThe agency says it plans to streamline fraud reporting in the future.
February 26, 2026
DOL Releases New Indie Contractor Rule ProposalLabor is taking comments on the plan until April 28.
February 25, 2026
How to Avoid IRS Pitfalls When Borrowing From YourselfSolo 401(k) owners can take out loans from their retirement savings, but it's important to understand tax rules.
February 25, 2026
Trump Promises New Retirement Account in 2027During his State of the Union speech, Trump said the accounts would mirror those offered to every federal worker.
February 24, 2026
SEC Closes LPL Cash Sweep ProbeThe firm still faces class action lawsuits over low rates paid on cash and says it will defend itself.
February 24, 2026
U.S. Weighs Bank Citizenship-Data Requirements: ReportsThe order, reported by the Wall Street Journal and Semafor, could apply to new clients as well as existing account holders.
February 24, 2026
IRS Issues Another RMD Rule Deadline DelayThe agency has given retirement plans more time to comply with not-yet-finalized rules under Secure 2.0.
February 23, 2026
Massachusetts Advisor, Firm to Pay $150,000 in Annuity Switching CaseJeffrey Cutter and his firm failed to disclose significant upfront commissions and other conflicts of interest, a jury found.