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.
Merrill Says Dynasty Reneged On Arbitrating Dispute Over Mega-Team
By Dinah Wisenberg BrinMerrill has accused Dynasty, Schwab and former senior employees of raiding a $129 billion unit to start an RIA.
February 18, 2026
SEC Approves FINRA Gift Limit Boost to $300The previous $100 limit had been in effect since 1992.
February 17, 2026
New FINRA Plan Allows BDs to Market Performance ProjectionsThe amendments help align communications and marketing materials with the SEC's marketing rule, says attorney Ben Marzouk.
February 17, 2026
Average Tax Refunds Up More than $200 as Filing Season OpensThe Treasury Department has promised tax refunds $1,000 higher on average than last year.
February 17, 2026
Wall Street Wants to Bring Election Bets Into Brokerage AccountsThe proposed ETFs, disclosed in a filing on Feb. 13, cover presidential, Senate and House races across both parties.
February 17, 2026
4 Big Cases to Watch in 2026: SEC RoundupThese "sleeper" cases will set the rules of the road for years to come.
February 13, 2026
Think You Can Fix Social Security? It's Gotten Harder.A tool that lets users try their hand at Social Security reform has been updated, and the numbers aren't pretty.
February 13, 2026
SEC Bars Ex-Wells Fargo Advisor in Prison for FraudKenneth A. Welsh, accused of stealing nearly $3 million from clients, was sentenced last July to 3.6 years.