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.
UBS Hits Back Over Nazi-Accounts Probe Amid Senate Pressure
By Hugo MillerThe bank says the U.S. lawyer overseeing a six-year-old inquiry into Credit Suisse is exceeding his mandate.
May 21, 2026
SEC Commissioner Hester Peirce to ExitThe SEC's "Crypto Mom" will leave the agency in November to teach at Regent University.
May 20, 2026
IRS Starts to Implement a Long-Term Care Insurance Tax IncentiveThe new guidance will help employers remind employees that old age happens.
May 20, 2026
How to Surprise-Proof the Medicare SurchargeAdvisors can help clients manage premium shocks to their health insurance — without overpromising.
May 20, 2026
Citi Discloses Over 300 New York Layoffs, Part of Ongoing Job CutsThe banking giant has been moving to eliminate 20,000 positions over two years.
May 20, 2026
Black Edward Jones Advisors Are Set Up to Fail, Class-Action Suit AllegesWhite financial advisors receive better asset transfers and compensation, according to a suit by six former advisors.
May 20, 2026
Barney Frank, Key Lawmaker During Financial Crisis, Dies at 86He co-authored the sweeping Dodd-Frank Act that overhauled U.S. financial regulation.
May 19, 2026
BD Fined $100K Over Deferred VA ExchangesWorld Investments failed to supervise recommendations of annuity switches, FINRA finds.