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.
Edward Jones Asks Court to Compel 6 Black Advisors to Arbitrate Bias Claims
By Dinah Wisenberg BrinA putative class-action lawsuit contends that the financial services firm discriminates in compensation, firings and promotions.
July 28, 2026
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It's Time for a New Approach to Roth Conversions: Sean MullaneyThe CPA turned financial planner offers what he thinks is most critical regarding tax planning and retirement.
July 24, 2026
The Hollow Supreme Court Disgorgement Victory: SEC RoundupThe Supreme Court ruling letting the SEC pursue disgorgement without proving investor harm may be largely symbolic.
July 24, 2026
FINRA Suspends Ex-Morgan Stanley Rep Over Options Trades, TextingOne client couple lost almost $400,000 as the broker generated $62,000 in commissions, according to the regulator.
July 23, 2026
When Taxes and Generational Wealth Collide, Here's What to DoStrategies to mitigate potential burdens on heirs, John Vento suggests, are powerful preservation tools — when used properly.
July 23, 2026
Warren, Dems Investigate Whether IRS CEO Misled CongressThe 14 senators are investigating whether IRS CEO Frank Bisignano misled Congress about the agency's staffing after Trump gutted it.
July 23, 2026
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How Advisors Can Support Clients With IVF, Adoption & SurrogacyExpanded family-building measures can often carry retirement, tax and emotional complications.
July 23, 2026
SEC Agrees to Pay $150,000 to End Coinbase Suit Over RecordsThe agreement ends a two-year Freedom of Information Act legal battle between the Wall Street regulator and Coinbase.