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 to Conduct Broad Enforcement Review
By Melanie WaddellChair Paul Atkins says the agency is "redirecting resources toward the types of misconduct that inflict the greatest harm."
June 30, 2026
Trump Nominates Acting Secretary to Head DOLKeith Sonderling has been acting Labor secretary since Lori Chavez-DeRemer resigned in April.
June 29, 2026
Merrill to Pay $7.5M for Failing to File Suspicious Activity ReportsMerrill failed to investigate certain types of events under a BofA risk scoring system, the SEC said.
June 29, 2026
RIA Must Pay SEC $75K Over Custody Rule ViolationsNortheast Financial Group failed to conduct financial statement audits of private funds that the firm advised.
June 29, 2026
IRS Provides Gift Tax Relief for Trump AccountsTaxpayers had raised concerns that Trump account donations would trigger gift tax reporting rules.
June 29, 2026
Cook Stays at Fed, But Trump Wins More Power Over Other AgenciesThe Fed shield came even as the court, in a separate ruling, expanded the president's power to fire top government officials at other agencies.
June 29, 2026
Supreme Court Rejects Bid to Review SEC's Rescinded 'Gag Rule'The now-rescinded SEC policy forced people and companies settling enforcement cases to never publicly criticize or contest SEC claims.
June 26, 2026
FINRA Bars Ex-Ameriprise Advisor Accused of Taking $3.5M From ClientSung Moo Cho, most recently a Citigroup rep, refused to cooperate with a FINRA probe.