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.
Morgan Stanley Gets FINRA Waiver From Disqualification After $15M SEC Settlement
By Melanie WaddellThe regulator approved the firm's request to remain an industry member; LPL received a waiver in January.
March 25, 2026
DOL's Plan for Alts in 401(k)s Clears OMBThe exact contents of the proposal will be unclear until Labor releases the rule.
March 25, 2026
Court Refuses to Vacate $133M Arbitration Award Against StifelThe FINRA award was tied to former financial advisor Chuck Roberts.
March 25, 2026
Franklin Templeton Debuts ETFs That Trade in Crypto Wallets 24/7The initiative is aimed at a growing class of investors who have no interaction with traditional brokerages.
March 24, 2026
What Clients Should Know About Buying a Second HomeWhether they're looking for a residence or an investment, there are financing, tax and estate planning issues to consider.
March 24, 2026
CFP Board Forms Panel to Study Bachelor's Degree RequirementThe planner group announced changes to its education requirements in January.
March 24, 2026
Robo-Advisor Ally Invest to Pay $500K Over ConflictsThe breaches of fiduciary duty were associated with Ally Invest's Cash-Enhanced accounts, the SEC finds.
March 23, 2026
10 Client Statements That Should Trigger Alarm BellsNot everyone you meet in HNW circles is squeaky clean.