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.
'Dirty Dozen' Tax Scams of 2026: IRS
By Melanie WaddellTaxpayers should be on the lookout for these new and emerging schemes, according to the agency.
March 25, 2026
Court Refuses to Vacate $133M Arbitration Award Against StifelThe FINRA award was tied to former financial advisor Chuck Roberts.
March 25, 2026
Franklin Templeton Debuts ETFs That Trade in Crypto Wallets 24/7The initiative is aimed at a growing class of investors who have no interaction with traditional brokerages.
March 24, 2026
What Clients Should Know About Buying a Second HomeWhether they're looking for a residence or an investment, there are financing, tax and estate planning issues to consider.
March 24, 2026
CFP Board Forms Panel to Study Bachelor's Degree RequirementThe planner group announced changes to its education requirements in January.
March 24, 2026
Robo-Advisor Ally Invest to Pay $500K Over ConflictsThe breaches of fiduciary duty were associated with Ally Invest's Cash-Enhanced accounts, the SEC finds.
March 23, 2026
10 Client Statements That Should Trigger Alarm BellsNot everyone you meet in HNW circles is squeaky clean.
March 23, 2026
Commonwealth Agrees to Pay $5M to SEC After $93M Judgment TossedThe settlement would resolve a long-running battle over disclosure of a mutual fund revenue-sharing program.