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.
Florida Man Faces Trial for Alleged $36M Ponzi Scheme
By Dinah Wisenberg BrinBrent Seaman reportedly used victims' funds for his personal expenses and to pay earlier investors.
January 12, 2026
FINRA Plans to Beef Up Fraud RulesThe regulator is seeking feedback on ways to modernize its regulations as scams rise.
January 12, 2026
Tax Filing Season Opens Jan. 26A delay until February had been anticipated due to changes related to the One Big Beautiful Bill Act.
January 12, 2026
Supreme Court to Review SEC Power to Recoup Illegal GainsThe case could blunt one of the agency’s most potent enforcement tools.
January 09, 2026
Social Security to Roll Out Nationwide Claims System: ReportThe change could have "catastrophic consequences for beneficiaries," a Social Security advocate says.
January 09, 2026
Social Security Slashed Staff Amid Claims of Massive Fraud. Now What?The program's funding outlook remains bleak, but conditions at the Social Security Administration appear to have stabilized.
January 08, 2026
Why Some Wealthy Households Face a Tax Hike in 2026While the 2025 megabill cut rates for most, one group in particular could pay more, analyst Jeff Bush says.
January 08, 2026
SEC Seeks Huge Boost to AUM Threshold for Small AdvisorsThe plan would raise the threshold to $1 billion from $25 million, easing compliance burdens for more RIAs.