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 Says United Planners, Advisor Steered Retirees to High-Risk Investments
By Dinah Wisenberg BrinThe complaint, seeking class-action status, alleges securities fraud and RICO violations.
January 20, 2026
Retirement Industry Blasts Trump 401(k) Down Payment ProposalThere are concerns that the policy could confuse savers while worsening the affordability crisis.
January 20, 2026
What Does Greenland Invasion Talk Mean for Annuity Advisors? Here Are 5 IdeasThe extra volatility that scares shareholders could have mixed effects on insured income products.
January 20, 2026
FINRA Sends Revised Outside Business Activity Rule to SECFINRA's new plan clarifies "a number of sticking points," including supervisory requirements for outside RIA activity, says ACA's Cooke.
January 20, 2026
Cassidy Named Head of SEC Exam DivisionThe agency veteran has been acting director since May 2024.
January 20, 2026
Cetera Fined $1.1M Over AML, Other Failures: FINRACetera Advisors, Cetera Wealth Services and Cetera Investment Services were cited for supervisory compliance issues.
January 20, 2026
New SEC Marketing Rule FAQ Tackles Fees, TestimonialsMore FAQs are likely on the way as the industry seeks clarity on the rule, says Valerie Mirko.
January 20, 2026
Wells Fargo to Move Wealth Headquarters to West Palm BeachThe new office means the unit’s leaders can be closer to their largest clients, said wealth chief Barry Sommers.