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.
Commonwealth Agrees to Pay $5M to SEC After $93M Judgment Tossed
By Dinah Wisenberg BrinThe settlement would resolve a long-running battle over disclosure of a mutual fund revenue-sharing program.
March 20, 2026
Ex-Advisor, Radio Host Could Face Lengthy Prison Term for FraudBrooklynn Chandler Willy of Texas just pleaded guilty to six wire fraud and four related charges in a Ponzi scheme.
March 19, 2026
Debate: Should Medical Expenses Be Exempt From Itemized Deduction Limits?Legislation in 2025 created a cap on itemized deductions that will largely affect high-income clients.
March 19, 2026
Elect the Roth Employer Match? Watch for This Tax FormThis 401(k) contribution choice will trigger reporting and tax obligations that may be unfamiliar.
March 19, 2026
SEC Targets Auditing 'Bad Actors' With New Enforcement TeamThe unit will investigate and litigate matters tied to potential violations of Sarbanes-Oxley auditing standards and provisions.
March 19, 2026
'Robust Pipeline' of Rules Ahead: SEC ChiefThe primary goal is "trimming immaterial requirements that burden the market" but don't benefit investors, Atkins said Thursday.
March 18, 2026
Gundlach: Fed Rate Hike Now More Likely Than CutWithout rate cuts, "there's very little fuel to propel risk markets," Gundlach said.
March 18, 2026
DOL Won't Float a New Fiduciary RuleLabor said it has restored ERISA's five-part test for determining who is an investment advice fiduciary.