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.
Long-Stalled Crypto Bill Wins Key Senate Committee Vote
By Yash Roy and Lydia BeyoudThe Senate Banking Committee advanced the Clarity Act, which would establish the CFTC as crypto's primary regulator.
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.
May 11, 2026
Widow Wins $1.2M From UBS Over Annuity, Margin LoanThe advisor's recommendations and management style resulted in the client "essentially breaking even" over 11 years, her lawyer says.
May 11, 2026
New Bill Creates Savings Accounts for Skills TrainingEmployers and employees could contribute to tax-advantaged accounts to fund education and training expenses.
May 08, 2026
Vanguard, BlackRock, Invesco Push for Invest Act PassagePolicy experts at the asset managers are awaiting Senate action on legislation that expands the accredited investor definition.