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.
SEC Asks Court to Toss Accredited Investor Rule Suit
By Melanie WaddellA complaint, brought in September, challenges the income and net worth thresholds in the agency's accredited investor definition.
April 17, 2026
IRS Releases Tool to Help Taxpayers Resolve DebtTax Debt Help explains payment options as well as how to settle debt for less than is owed.
April 16, 2026
RMD Rules After Divorce Might Surprise Your ClientsUsing a qualified domestic relations order to divide retirement assets doesn't always create a clean break.
April 16, 2026
Private Markets Belong in 401(k)sThe defined contribution retirement system should reflect how modern capital markets actually function.
April 16, 2026
SEC Seeks Comments on Reining in CATThe agency wants feedback on Consolidated Audit Trail funding and cost management and the regulatory purpose of the database.
April 16, 2026
Atkins Faces Ticking Clock as He Reshapes Rules for Wall StreetPaul Atkins came with a long to-do list, but there are few check marks next to those big tasks.
April 15, 2026
DOL Retirement Unit Chief Sets Enforcement PrioritiesDaniel Aronowitz, head of EBSA, states in a new bulletin that EBSA will not use enforcement to drive policy.
April 15, 2026
Wall Street Banks Cut 5,000 Jobs Even as They Notched Record ProfitsThe bulk of the cuts were at Wells Fargo, followed by Citigroup and Bank of America.