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.
The Real Reason DOL Is Clearing the Way for Alts in 401(k)s
By Melanie WaddellLabor's plan is meant to stem the tide of ERISA lawsuits, attorneys and retirement industry officials say.
April 27, 2026
Insurance Group Drops DOL Rollover Advice Suit"It may seem anti-climactic but we really see this as a red-letter moment," FACC CEO Kim O'Brien says.
April 27, 2026
Fidelity Hit With $1.25M Fine Over Data BreachMassachusetts' top securities regulator ordered the fine over a breach that compromised the data of 77,000 customers.
April 27, 2026
Ex-LPL Rep Suspended Over Outside Business ActivityJames Robert Ptacek Jr. did not disclose his role on the board of a streaming company, FINRA states.
April 27, 2026
Vanguard CEO: Individual Investors a 'Great Stabilizing Force'Vanguard is adding AI to its advisor tools and its robo-advice service, Salim Ramji said.
April 24, 2026
Creditor Protection Trust Fails Under Court ScrutinyA recently decided case underscores the importance of understanding states' limitations around shielding assets.
April 24, 2026
Lawmakers Urge DOL to Scrap Indie Contractor Rule ProposalIn a letter, Democrats told acting Labor Secretary Keith Sonderling Friday to revive the 2024 rule.
April 23, 2026
Federal Court Rules Against IRS Micro Captive Insurance RegulationThe judge found that the agency exceeded its statutory authority.