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.
Senators Raise Alarm About Inexperienced Social Security Staff Fielding Suicide Calls
By Melanie WaddellLegislators want answers from the agency's commissioner about troubling staff reassignments and ongoing customer service issues.
March 13, 2026
Ex-Merrill Advisor Gets Annuity Complaint ExpungedThree FINRA arbitrators said the customers "often made spurious complaints and quickly withdrew or dropped them."
March 13, 2026
Judge Strikes Down DOL Fiduciary RuleA federal judge in Texas vacated the rule Thursday. A new rule could come out in May.
March 12, 2026
FINRA to Shorten Wait Times for Retaking ExamsThe regulator's board also approved a plan to provide parties with greater input into replacing arbitrators.
March 12, 2026
Social Security Probes New Claim of DOGE Data BreachA whistleblower has accused a former DOGE employee of illegally copying two SSA databases, The Washington Post reported.
March 11, 2026
Judge Orders SEC to Hand Over Texting Fine DataLawyer Nick Morgan called the ruling a "win for transparency and a stinging rebuke of the SEC's litigation conduct."
March 10, 2026
Wall Street Regulators Seek More Enforcement, Exam CoordinationThe SEC and the CFTC plan to coordinate examinations and enforcement for businesses that fall on both agencies' turf.
March 10, 2026
PRO
How Trump's New Retirement Plan Might WorkThe president could resurrect an idea from the Obama administration, former Treasury official Mark Iwry predicts.