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.
New Bill Requires IRS to Provide Call Wait Times
By Melanie WaddellThe proposed legislation would also make tax returns and notices available via the agency website or mobile app.
April 09, 2026
New Bill Reverses Social Security Staff CutsThe Social Security Customer Service Act requires at least 75% of new hires to serve in customer service roles.
April 08, 2026
SEC Names New Enforcement DirectorDavid Woodcock, currently a partner at Gibson, Dunn & Crutcher, will start his new SEC post on May 4.
April 08, 2026
Rep Violated Reg BI With Structured Note Sales to Retirees: FINRANeither client of Frederick Hohensee had prior experience with the complex investment products, an order states.
April 08, 2026
Ex-Northwestern Mutual Advisor Gets 5 Years in Prison for Stealing $8.6M From ClientsJohn Jay Kersey, who prosecutors say conducted a 20-year Ponzi scheme, was also ordered to pay restitution.
April 08, 2026
SEC Fines Surge on Biden Enforcements Now Shifting Under TrumpSEC fines and investor relief doubled to $17.9 billion in the 2025 fiscal year, the agency said.
April 08, 2026
Morgan Stanley Debuts Bitcoin ETF as Price Slump Rattles HoldersIt joins 10-plus spot-Bitcoin ETFs that launched over the past two years and collectively command over $85 billion in assets.
April 07, 2026
Ex-Raymond James Rep in Hot Water Over Account Conversions: FINRAPaul Snow switched 13 advisory accounts to brokerage accounts and made trades without disclosing material facts, an order states.