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.
Barred Oregon Broker Accused of Stealing Over $1.6M From Clients
By Dinah Wisenberg BrinJeffrey Thomas Higgins is charged with selling clients' stock and taking the proceeds over roughly 17 years.
April 16, 2026
Private Markets Belong in 401(k)sThe defined contribution retirement system should reflect how modern capital markets actually function.
April 16, 2026
SEC Seeks Comments on Reining in CATThe agency wants feedback on Consolidated Audit Trail funding and cost management and the regulatory purpose of the database.
April 16, 2026
Atkins Faces Ticking Clock as He Reshapes Rules for Wall StreetPaul Atkins came with a long to-do list, but there are few check marks next to those big tasks.
April 15, 2026
DOL Retirement Unit Chief Sets Enforcement PrioritiesDaniel Aronowitz, head of EBSA, states in a new bulletin that EBSA will not use enforcement to drive policy.
April 15, 2026
Wall Street Banks Cut 5,000 Jobs Even as They Notched Record ProfitsThe bulk of the cuts were at Wells Fargo, followed by Citigroup and Bank of America.
April 15, 2026
Ed Slott: Clients' 2025 Tax Returns Are Key to 2026 PlanningThe returns, which reflect the new tax law, are a "valuable roadmap" for future years, Slott tells ThinkAdvisor.
April 14, 2026
SEC Approves Plan Removing Day-Trading Limit for Small InvestorsPublic feedback "overwhelmingly supported" FINRA's proposal to change the rule, an SEC official wrote.