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.
What to Know About RMDs and Roth Conversions in 2026
By Robert Bloink and William H. ByrnesWhile many transactional deadlines aren’t until year-end, others arrive in a few months.
January 15, 2026
Ex-Advisor Pleads Guilty in $72M Ponzi SchemeAmong eight defendants in the Ohio case, Doug Miller was the second to plead guilty.
January 15, 2026
DOL's Plan for Alts in 401(k)s Lands at OMBThe proposal is a response to a Trump executive order on the subject.
January 15, 2026
UnitedHealth Schools Senate Committee on Patient Risk ScoringInvestigators found that the company's health assessment teams spotted ominous signs that patients' own doctors had missed.
January 14, 2026
Ex-Cambridge Advisor Barred Over Off-Channel Communications ProbeJay Zornes refused to cooperate with a FINRA probe, the regulator's consent agreement states.
January 14, 2026
FINRA and SEC May Think More About Fixed Annuities This YearBut NAFA's chair hopes issuers can spend less time on regulatory threats and more on opportunities.
January 13, 2026
Two DOL Aides on Leave After Inspector General Complaint: ReportsPolitico and the New York Post say the allegations involve concerns about travel scheduling for the Labor secretary.
January 13, 2026
Florida Man Faces Trial for Alleged $36M Ponzi SchemeBrent Seaman reportedly used victims' funds for his personal expenses and to pay earlier investors.