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.
SEC Streamlines French Advisor Registration
By Melanie WaddellThe pathway allows the agency to process new and pending applications received by the French securities commission.
October 20, 2026
IRS Proposes Tighter ACA Health Premium Tax Credit RulesOne section could affect clients who bring relatives to the United States from other countries.
October 19, 2026
FINRA's New Exam Retake Rules Start Jan. 19New rules shorten the wait times for retaking a failed qualification exam.
October 16, 2026
Merrill, Wells Fargo to Pay $4.4M Over CommissionsState securities regulators found the firms charged unreasonable commissions on more than 256,000 small-dollar trades.
October 14, 2026
IRA Planning for Non-Spouse BeneficiariesRules around inheriting such accounts have drastically changed in recent years.
October 14, 2026
Treasury Fines BofA $1.2B Over AML ViolationsThe banking giant faces the third-largest penalty in the department's history.
October 13, 2026
Ohio Advisor Embezzled 401(k) Funds, Ran Ponzi Scheme: DOJSeku N. Shabazz, also accused of mortgage fraud, could face more than 100 years in prison if convicted.
October 12, 2026
Ex-LPL Rep Lost Client Money in Outside Investment: FINRAThe regulator barred Buddy Dean Mason for failing to provide information on the allegations, which led to his firing.