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's Rulebook Revamp Takes a Beating at House Hearing
By Melanie WaddellAn investor advocate accused the regulator of industry appeasement, while an industry lobbyist criticized the slowness of change.
March 05, 2026
Wells Fargo Free of Consent Orders for First Time in 15 YearsThe Federal Reserve said Thursday that it terminated the last one, which was issued in 2018.
March 04, 2026
Retired Teachers Win FINRA Fight With SchwabThirteen clients were awarded $3.8 million after claiming Schwab "concentrated their accounts in inappropriate holdings."
March 04, 2026
2M Want to Open Trump Accounts: IRSFrank Bisignano, the agency's CEO, also told House lawmakers that the 2026 tax filing season is running "smoothly."
March 04, 2026
Ex-Morgan Stanley Advisor Convicted of Defrauding 3 NBA PlayersDarryl Cohen cheated the pro athletes out of more than $5 million, according to prosecutors.
March 04, 2026
Warsh Nominated for Fed Chair, Path to Confirmation UnclearTrump picked Kevin Warsh to lead the U.S. central bank when Jerome Powell's term expires May 15.
March 04, 2026
Edward Jones Gets OK to Open a BankThe Utah-chartered institution, launching by early 2027, will partner with advisors to bring bank offerings to clients.
March 03, 2026
United Planners Consolidates Its Compliance, Cybersecurity FunctionsIt's using the regtech tool SurgeONE.ai, which helps advisors stay ahead of regulatory exams.