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.
Lawsuit Accuses Stifel of Mismanaging Its Employees' 401(k)
By Dinah Wisenberg BrinThe suit contends Stifel kept two poorly performing funds in the plan for over a decade.
February 20, 2026
Apollo Seeks to Reassure Clients About CEO's Epstein TiesMarc Rowan arranged to meet him multiple times, including at least two gatherings in 2016, the latest documents show.
February 20, 2026
SEC Updates FAQ on Controversial Fund Names RuleThe new FAQ signals a looser interpretation of the rule.
February 20, 2026
Trump's Global Tariffs Struck Down by Supreme CourtVoting 6-3, the court said he exceeded his authority by invoking an emergency powers law to impose "reciprocal" tariffs.
February 19, 2026
Merrill Says Dynasty Reneged On Arbitrating Dispute Over Mega-TeamMerrill has accused Dynasty, Schwab and former senior employees of raiding a $129 billion unit to start an RIA.
February 19, 2026
ETF Firm Muscles Into the Digital Dollar MarketProShares is launching what it says is the first money market ETF designed to hold reserves for stablecoin issuers.
February 18, 2026
Rep Forged 64 Client Signatures on 115 Annuity Applications: FINRAAvinesh Shankar of Pruco Securities received $511,610 in commissions he was not entitled to, a complaint states.
February 18, 2026
SEC Approves FINRA Gift Limit Boost to $300The previous $100 limit had been in effect since 1992.