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.
New FINRA Plan Allows BDs to Market Performance Projections
By Melanie WaddellThe amendments help align communications and marketing materials with the SEC's marketing rule, says attorney Ben Marzouk.
February 17, 2026
4 Big Cases to Watch in 2026: SEC RoundupThese "sleeper" cases will set the rules of the road for years to come.
February 13, 2026
Think You Can Fix Social Security? It's Gotten Harder.A tool that lets users try their hand at Social Security reform has been updated, and the numbers aren't pretty.
February 13, 2026
SEC Bars Ex-Wells Fargo Advisor in Prison for FraudKenneth A. Welsh, accused of stealing nearly $3 million from clients, was sentenced last July to 3.6 years.
February 12, 2026
Time to Consider Accredited Investor Alternatives: SEC's AtkinsThe SEC chairman told senators that wealth should not be the only qualifier for accredited investor status.
February 12, 2026
Using Trusts to Minimize State-Level TaxesFor clients expecting large capital gains and other liquidity events, planning opportunities exist.
February 11, 2026
SEC Working on Off-Channel Communications, E-Delivery Rules: AtkinsThe SEC chairman testified Wednesday before the House Financial Services Committee.
February 10, 2026
Altruist Adds Tax Planning Tools Within AI Platform HazelJason Wenk, founder and CEO of Altruist, said Hazel's features redefine what tax planning means for advisors.