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.
Why Everyone is Suing the SEC Now — SEC Roundup
By Nicolas Morgan and Tom ZaccaroMarket participants are abandoning the decades-old "settle-and-move-on" playbook, a Vanderbilt Law professor explains.
May 14, 2026
Long-Stalled Crypto Bill Wins Key Senate Committee VoteThe Senate Banking Committee advanced the Clarity Act, which would establish the CFTC as crypto's primary regulator.
May 14, 2026
Fired Edward Jones Advisor Sentenced to 3 Years for Nearly $1M FraudJohn S. Winslow bought his widowed client flowers and chocolate, then used her money to buy luxuries, authorities said.
May 14, 2026
NY Plans New Tax on City Homes Over $1M Bought With CashThe levy is expected to raise $160 million to help fill the city's budget hole.
May 14, 2026
Reg BI Cases Keep IncreasingFINRA brought more actions in 2025 than in previous years, an exec details at its annual conference.
May 13, 2026
FINRA Enforcement Review to Conclude by End of JuneFINRA will put out a public report on the findings of the review, CEO Robert Cook says.
May 12, 2026
E-Delivery Rule Will Be 'Broader': SEC ChiefThe SEC's e-delivery approach will apply across BDs and investment advisors, Atkins said at FINRA's annual conference.
May 11, 2026
SEC Moves to End 'Gag Rule' Criticized by Musk and CubanThe White House is reviewing a plan to end the SEC's no admit/no deny rule.