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.
SEC Closes LPL Cash Sweep Probe
By Dinah Wisenberg BrinThe firm still faces class action lawsuits over low rates paid on cash and says it will defend itself.
February 23, 2026
Massachusetts Advisor, Firm to Pay $150,000 in Annuity Switching CaseJeffrey Cutter and his firm failed to disclose significant upfront commissions and other conflicts of interest, a jury found.
February 20, 2026
Lawsuit Accuses Stifel of Mismanaging Its Employees' 401(k)The suit contends Stifel kept two poorly performing funds in the plan for over a decade.
February 20, 2026
FINRA Suspends Rep Over Variable Annuity SwitchesRobert Settimio Cupello recommended six VA exchanges to seniors without a reasonable basis to believe they were suitable.
February 20, 2026
Fidelity to Pay Nearly $1.3M in Damages Over Structured ProductsClients said the firm committed breach of contract and fiduciary duty in connection with their investments.
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.