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.
FINRA to Shorten Wait Times for Retaking Exams
By Melanie WaddellThe regulator's board also approved a plan to provide parties with greater input into replacing arbitrators.
March 10, 2026
Wall Street Regulators Seek More Enforcement, Exam CoordinationThe SEC and the CFTC plan to coordinate examinations and enforcement for businesses that fall on both agencies' turf.
March 10, 2026
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How Trump's New Retirement Plan Might WorkThe president could resurrect an idea from the Obama administration, former Treasury official Mark Iwry predicts.
March 09, 2026
Ex-Morgan Stanley Rep Impeded Investigation: FINRAThe regulator was probing James Fredrick Tighe's firing over unauthorized transfers from a client account.
March 09, 2026
AI Is Reshaping Advisor Exams: SEC RoundupRegLabs AI founder Stan Yakov explores how AI is changing exams and enforcement — and what advisors need to know.
March 06, 2026
LPL, Advisor Team Must Pay $200K to Ameriprise: FINRAAmeriprise had accused a father-son team of taking confidential info as they left for LPL.
March 06, 2026
Wall Street Regulators Discuss Moving Into Same Building ComplexThe talks involve moving the CFTC into the same area where the SEC is now based near Union Station.
March 06, 2026
IRS Releases Trump Account RegsThe proposed regs detail how the new pilot program will operate, says Jeff Bush.