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.
Barney Frank, Key Lawmaker During Financial Crisis, Dies at 86
By Gabriel BaumgaertnerHe co-authored the sweeping Dodd-Frank Act that overhauled U.S. financial regulation.
May 18, 2026
Broker Accused of Trading in Dead Client's AccountJohn Polemis also took $28,000 in loans from the client and didn't repay him, FINRA alleges.
May 15, 2026
Merrill Settles With Ex-Miami Dolphin for $1.25MFormer cornerback Sean Smith had sought $3.5 million in damages tied to a now-barred broker.
May 15, 2026
SEC to Remain 'Active' in Pursuing Advisor CasesThe agency will also focus on retail investor fraud, according to its new enforcement chief, David Woodcock.
May 15, 2026
Generative AI Is a Powerful Tool for Advisors, With LimitsThe firms that succeed in using AI agents will be the ones that prioritize effective governance.
May 15, 2026
Why Everyone is Suing the SEC Now — SEC RoundupMarket participants are abandoning the decades-old "settle-and-move-on" playbook, a Vanderbilt Law professor explains.
May 14, 2026
Social Security Wasted Money Chasing Small Overpayments, Watchdog FindsThe agency spent approximately $4.6 million to recover about $2.6 million, its inspector general estimated.
May 14, 2026
Ted Cruz Says Trump Accounts Could Replace Social Security. Retirement Pros Are Skeptical.Consultant Marcia Mantell said she was "livid" at the idea. But advisors' clients have long worried about trust fund solvency.