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.
Strategist Warns Against a Hidden Threat in Private Equity
By Allison BellPeter Dziedzic says life and annuity professionals can end up facing invisible conflicts of interest.
January 30, 2026
Trump Picks a Reinvented Warsh to Lead the Federal ReserveKevin Warsh, 55, served on the bank's Board of Governors from 2006 to 2011 and advised Trump on economic policy.
January 29, 2026
Sen. Grassley Presses Labor Secretary on Alleged Misconduct: ReportLori Chavez-DeRemer has been accused of travel fraud and an inappropriate relationship; a spokeswoman calls the allegations false.
January 29, 2026
Trump, Dems Close to Immigration Deal to Avert ShutdownWithout an agreement, government funding will lapse on Saturday for much of the federal government.
January 29, 2026
The Hidden Math Behind SEC Penalties: SEC RoundupFines are more arbitrary than you think, a former SEC and CFTC enforcement attorney and Vanderbilt Law professor say.
January 29, 2026
These ETFs Are in the SEC's Crosshairs in 2026The SEC will focus on complex ETFs, which includes a number of different strategies.
January 28, 2026
Retirement Policy Change in 2026? Yes, It's PossibleThe DOL, not Congress, will likely be where most of the action is, Washington watchers say.
January 28, 2026
CFP Board to Increase CE Requirements in 2027The board is also clarifying that competency to practice independently is not measured by the CFP exam alone.