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.
With Alts in 401(k)s, DOL Hopes to Spur Product Innovation
By Melanie WaddellEBSA head Daniel Aronowitz envisions investments that widen the pool of available asset classes while still mitigating risks.
May 04, 2026
Police Seek Suspect After Wells Fargo Robbery Attempt Near Las VegasPolice in Henderson, Nevada, are still searching for a man who attempted to rob a Wells Fargo branch.
May 01, 2026
Debate: Will This Bill Make Employee Benefits More Helpful?In proposed legislation, employees could elect tax-free employment benefits under a wider array of options.
May 01, 2026
Cambridge Fined $200K for Failing to Quash UIT TradingA rep's costly recommendations violated Reg BI, a FINRA order states.
May 01, 2026
Medicare Portal Exposed Providers' Social Security Numbers: ReportThe database was created by the Centers for Medicare and Medicaid Services to help seniors look up medical providers.
May 01, 2026
SEC Semiannual Reporting Proposal Clears White House ReviewThe SEC plan to let public companies cut quarterly disclosures to twice a year moved closer to reality.
April 30, 2026
Trump Orders Creation of IRA Comparison SiteTrumpIRA.gov will go live Jan. 1, 2027, and allow workers to compare private-sector IRAs, Trump's order states.
April 30, 2026
FINRA Releases One-Year Progress Report on Rulebook RevampThe report details measures that have been finalized as well as those that are in the works.