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.
Inside the 2026 Enforcement Manual Updates: SEC Roundup
By Nicolas Morgan and Tom ZaccaroA 15-year SEC veteran breaks down what's actually changed — and what it means for advisors, BDs and defense practitioners.
March 16, 2026
At Schwab, Number of 'Small' Advisors Would Triple Under SEC PlanMore than 14,700 firms out of 16,000 in Schwab's network would qualify as a small business.
March 16, 2026
SEC Enforcement Director Resigns After 6 Months on the JobMargaret Ryan has resigned; Principal Deputy Director Sam Waldon has been named acting director.
March 16, 2026
Senators Raise Alarm About Inexperienced Social Security Staff Fielding Suicide CallsLegislators want answers from the agency's commissioner about troubling staff reassignments and ongoing customer service issues.
March 16, 2026
Treasury Secretary Bessent Exits Acting IRS Commissioner RoleThe IRS CEO position is "a fake job," senators told Bessent, stating an IRS Commissioner nomination has yet to be sent.
March 16, 2026
Prediction Markets Have Arrived. Here's What Advisors Should KnowWhile the regulatory outlook remains uncertain, some advisors have begun to use prediction markets to understand portfolio risks.
March 13, 2026
Ex-Merrill Advisor Gets Annuity Complaint ExpungedThree FINRA arbitrators said the customers "often made spurious complaints and quickly withdrew or dropped them."
March 13, 2026
Judge Strikes Down DOL Fiduciary RuleA federal judge in Texas vacated the rule Thursday. A new rule could come out in May.