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.
Ex-Franklin Templeton Analyst Alleges Retaliation Over Fraud Allegations
By Dinah Wisenberg BrinJordan Strah complains in a lawsuit that the firm dismissed him after he claimed his manager deceived investors.
April 27, 2026
Ex-LPL Rep Suspended Over Outside Business ActivityJames Robert Ptacek Jr. did not disclose his role on the board of a streaming company, FINRA states.
April 27, 2026
Vanguard CEO: Individual Investors a 'Great Stabilizing Force'Vanguard is adding AI to its advisor tools and its robo-advice service, Salim Ramji said.
April 24, 2026
Creditor Protection Trust Fails Under Court ScrutinyA recently decided case underscores the importance of understanding states' limitations around shielding assets.
April 24, 2026
Lawmakers Urge DOL to Scrap Indie Contractor Rule ProposalIn a letter, Democrats told acting Labor Secretary Keith Sonderling Friday to revive the 2024 rule.
April 23, 2026
Federal Court Rules Against IRS Micro Captive Insurance RegulationThe judge found that the agency exceeded its statutory authority.
April 23, 2026
Ex-CFA Institute Executive Pleads Guilty to $6M TheftMichael J. Collins, CFA Institute's former chief marketing officer, embezzled almost $6 million from the group and another company.
April 23, 2026
Supreme Court Voices Little Interest in More Curbs on SECThe justices weighed restricting the financial watchdog's power to collect ill-gotten gains.