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.
Treasury to Talk to Insurance Regulators About Private Credit Markets
By Allison BellThe Congressional Research Services says U.S. insurers have 8% of their assets in private credit.
April 02, 2026
Case Opens Door to COVID-Era Tax Refund ClaimsMany taxpayers may be entitled to significant refunds for late payments, late filings and other penalties.
April 02, 2026
Cambridge to Pay $280K Over Annuity SwitchesThe firm missed 22 "inappropriate exchanges" by a former rep because it lacked proper review, FINRA states.
April 01, 2026
More Than 4M Children Signed Up for Trump Accounts: IRSTaxpayers can enroll by filling out a one-page form when filing their return, the agency head says.
April 01, 2026
Trust Sues Voya Over $1.4M Retirement Fund PayoutThe firm issued a check from a deceased employee's 401(k) instead of rolling it over, the complaint claims.
March 31, 2026
FINRA Launches Cyber PortalThe platform "will collect, analyze and disseminate threat intelligence" to help broker-dealers respond to attacks, the regulator says.
March 31, 2026
FINRA Ousts Ex-Raymond James Broker Fired Over Handling of Wife's IRAWilliam Steven Cooke's wife alleged he made unauthorized trades and signed her name to move cash.
March 30, 2026
DOL Proposes Adding Variable Annuities to 401(k) Plan Default Option ListA fiduciary would have to show that the benefits from reducing plan participant liquidity justified the impact.