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.
Commonwealth, SEC Reach Tentative Settlement Over $93M Penalty
By Melanie WaddellThe long-running case centers on revenue sharing payments.
February 05, 2026
FINRA to Send E-Delivery Rule Updates to SECBroker-dealers would be allowed to make e-delivery their default method when sending investor disclosures and other communications.
February 04, 2026
TaxStatus' Jump Integration Links IRS-Verified Data to Planning PlatformThe partnership reflects growing demand in the advisor space for verified financials and AI-powered planning.
February 03, 2026
FSI Wants These Advisor Rules Modernized in 2026Two big priorities: Off-channel communications and an updated accredited investor definition.
February 03, 2026
Congress Sends Trump $1.2T Spending Package With SEC Funding, Medicare ProvisionsThe Medicare provisions could eventually help clients use their favorite pharmacies and pay for Apple Watch devices.
February 03, 2026
Ex-Advisor Sentenced to 20 Years in Prison for $94M Ponzi SchemeAbout 25 Venezuelans applauded as a court official handcuffed Andrew Jacobus and escorted him away, the Miami Herald reported.
February 02, 2026
DOGE Social Security Data Breach Puts Retirees at RiskNew court papers released by DOJ may be the tip of the iceberg, lawmakers and advocates say.
February 02, 2026
FINRA Fines BD $750K Over TextingBenjamin Edwards didn't supervise employees' messaging nor preserve and review reps' business-related texts, the order states.