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.
Shutdown Threatens to Hit IRS as Trump Touts Massive Tax Refunds
By Caitlin ReillyIts annual funding runs out after midnight Friday, when employees would be furloughed or required to work without pay.
January 23, 2026
Bill Seeks to Modernize Advisor Payment RulesThe Clarity for Compensation Act would "permanently allow commission payments to be made directly to advisors' business entities."
January 23, 2026
New Indie Contractor Rule Lands at OMBFSI, which has been battling Labor's 2024 rule in court, said the group is "encouraged" that Labor has initiated new rulemaking.
January 23, 2026
Trump Now Says He's 'Not a Huge Fan' of Using 401(k)s to Buy HomesReporters flying home from Davos with the president say he forcefully downplayed the idea.
January 23, 2026
Pacific Life Asks Court to Toss NASCAR Champ's IUL LawsuitThe driver and his wife allege roughly $8.6 million in losses tied to indexed universal life insurance policies.
January 23, 2026
FINRA Dings a BD for Lacking Leveraged ETF PoliciesStirlingshire Investments violated Reg BI when it failed to supervise reps' recommendations of the risky products, FINRA found.
January 22, 2026
How to Prepare for the SEC's 2026 Exam PrioritiesExaminers are focused on whether firms can demonstrate that their policies and procedures work in practice.
January 22, 2026
Ex-Goldman Banker Who Pleaded Guilty for $4.5M Fraud Seeks PardonTim Leissner is seeking a presidential pardon before he surrenders to a federal prison.