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.
Robinhood Launches AI Stock Trading, Purchases on Credit Cards
By Paige SmithClients will soon be able to establish agentic trading accounts that are entirely separate from their standard portfolios.
May 22, 2026
SEC Delays Plan Allowing for Crypto Versions of U.S. StocksThere's concern about the trading of third-party tokens set to be issued without the consent of the public companies involved.
May 22, 2026
The Social Security Clock Is Ticking. Here's What Advisors Should Watch.NARSSA President Martha Shedden weighs in on Trump accounts, key bills and how advisors can prepare for possible cuts.
May 22, 2026
UBS Hits Back Over Nazi-Accounts Probe Amid Senate PressureThe bank says the U.S. lawyer overseeing a six-year-old inquiry into Credit Suisse is exceeding his mandate.
May 21, 2026
Why Clients Should Consider Roth Conversions When Stocks DropThey can get more bang for their tax buck — but they need to keep their full tax picture in mind.
May 21, 2026
Reg BI and New Product Best Practices: What BDs Should KnowTed Luecke, examination director at FINRA, offers tips on how BDs can stay compliant while bringing on new products.
May 21, 2026
SEC Commissioner Hester Peirce to ExitThe SEC's "Crypto Mom" will leave the agency in November to teach at Regent University.
May 20, 2026
IRS Starts to Implement a Long-Term Care Insurance Tax IncentiveThe new guidance will help employers remind employees that old age happens.