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.
IRS Limits a Tax-Dodging ETF Strategy, Floats Broader Crackdown
By Melanie WaddellThe agency laid out curbs on Section 351 exchanges and is seeking comments on other moves it calls potentially abusive.
September 25, 2026
IRS Launches New Mobile AppThe app replaces IRS2Go and expands the agency's digital services.
September 24, 2026
When an Advisor Departure Turns Into a LawsuitWhat emerges within 30 days of a move often shapes the outcome.
September 24, 2026
Ameriprise, Broker to Pay Edward Jones Nearly $4.8M in Trade-Secrets DisputeAfter being fired from Edward Jones, Cory Clem attempted to take trade secrets and solicit clients, a FINRA arb panel found.
September 24, 2026
Vanguard to Pay $950K Over Cost Basis Errors in Client DocsTechnical issues led to errors on millions of statements over more than a decade, FINRA said.
September 24, 2026
SEC to Consider Accredited Investor Expansion Next WeekThe agency will also consider allowing performance fees to be charged in retail funds.
September 23, 2026
Vanguard, Morgan Stanley, Pershing Face Class Action Over Paper Statement FeesThe financial firms were sued in federal court over charging for written records of balances and trades.
September 22, 2026
FINRA Bars Ex-Raymond James Rep Accused of Borrowing From Clients, Taking GiftsJayme Frances Lemaire refused to provide information or documents for an investigation, an order states.