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.
FINRA Bars Rep for Cheating on SIE Exam
By Melanie WaddellThe rep looked at photos of study materials for the entry-level test on his phone, the regulator found.
March 17, 2026
SEC, CFTC Move to Define Which Digital Assets are SecuritiesA long-awaited "token taxonomy" carves out payment stablecoins, digital collectives and digital commodities as non-securities.
March 17, 2026
Second Judge Vacates DOL Fiduciary Rule, Dealing Death BlowThe decision "closes the chapter" on the Biden administration's "legally flawed" rule, the insurance industry plaintiffs said.
March 17, 2026
Inside the 2026 Enforcement Manual Updates: SEC RoundupA 15-year SEC veteran breaks down what's actually changed — and what it means for advisors, BDs and defense practitioners.
March 17, 2026
Private Foundations or Donor-Advised Funds? Asking the Right QuestionsHelping clients maximize their philanthropic efforts is an impactful way to build meaningful, lasting relationships.
March 17, 2026
Dynasty Argues It Can't Be Forced to Arbitrate Merrill Raid CaseDynasty disputes Merrill's contention it agreed to arbitration.
March 16, 2026
At Schwab, Number of 'Small' Advisors Would Triple Under SEC PlanMore than 14,700 firms out of 16,000 in Schwab's network would qualify as a small business.
March 16, 2026
SEC Enforcement Director Resigns After 6 Months on the JobMargaret Ryan has resigned; Principal Deputy Director Sam Waldon has been named acting director.