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.
Should Social Security Benefits Be Capped?
By Melanie WaddellThe Committee for a Responsible Federal Budget is calling for a limit based on marital status and claiming age.
April 03, 2026
Ameriprise to Pay Nearly $1.5M Over Annuity Switches: FINRAThe exchanges involved variable annuities tied to contracts with guaranteed lifetime withdrawal benefit riders, FINRA's order states.
April 03, 2026
Medicare Advantage Regulators Lighten Agent Sales Rules for 2027Officials also eased retention requirements for sales call recordings.
April 03, 2026
Treasury to Talk to Insurance Regulators About Private Credit MarketsThe Congressional Research Services says U.S. insurers have 8% of their assets in private credit.
April 03, 2026
CFTC Sues States Over Prediction Markets in 'Unprecedented' MoveCFTC is asserting federal authority over these fast-growing markets with lawsuits against Illinois, Connecticut and Arizona.
April 03, 2026
Ex-Merrill Rep Suspended, Fined After Firing Over False StatementsMark S. Sorrell, who was dismissed by Merrill in 2024, knew a client lacked sufficient funds to buy a home.
April 02, 2026
Case Opens Door to COVID-Era Tax Refund ClaimsMany taxpayers may be entitled to significant refunds for late payments, late filings and other penalties.
April 02, 2026
Cambridge to Pay $280K Over Annuity SwitchesThe firm missed 22 "inappropriate exchanges" by a former rep because it lacked proper review, FINRA states.