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.
Wall Street Watchdogs Pull Back Amid Trump's Deregulatory Push
By Nicola M. White, Katanga Johnson and J.J. McCorveyCritics of deregulation worry about what may fall through the cracks.
April 06, 2026
FINRA Slams J.P. Morgan Securities With $3.25M Fine Over Rep's Risky StrategyThe rep used a complex investment strategy involving concentrated positions in high-yield securities as well as leverage.
April 06, 2026
Jeremy Siegel: Stocks Could Face More PressureWhile the economist remains bullish longer term, he voices caution for now.
April 06, 2026
Should Social Security Benefits Be Capped?The Committee for a Responsible Federal Budget is calling for a limit based on marital status and claiming age.
April 06, 2026
SEC Claims Deceased Advisor Stole $1.68M From Elderly, Sues EstateThe agency is suing the estate of John Brodacki, who died in March, to claw back funds it says he took from clients.
April 03, 2026
Trump $2.2T Budget Leaves Social Security Funding FlatThe fiscal proposal provides slightly less for the agency than the $14.9 billion requested by its commissioner.
April 03, 2026
Ameriprise to Pay Nearly $1.5M Over Annuity Switches: FINRAThe exchanges involved variable annuities tied to contracts with guaranteed lifetime withdrawal benefit riders, FINRA's order states.
April 03, 2026
Medicare Advantage Regulators Lighten Agent Sales Rules for 2027Officials also eased retention requirements for sales call recordings.