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.
Ex-Morgan Stanley Rep Impeded Investigation: FINRA
By Melanie WaddellThe regulator was probing James Fredrick Tighe's firing over unauthorized transfers from a client account.
March 06, 2026
Wall Street Regulators Discuss Moving Into Same Building ComplexThe talks involve moving the CFTC into the same area where the SEC is now based near Union Station.
March 06, 2026
IRS Releases Trump Account RegsThe proposed regs detail how the new pilot program will operate, says Jeff Bush.
March 06, 2026
FINRA's Rulebook Revamp Takes a Beating at House HearingAn investor advocate accused the regulator of industry appeasement, while an industry lobbyist criticized the slowness of change.
March 05, 2026
FINRA to Publish Its Enforcement Manual — a FirstThe announcement by enforcement head Bill St. Louis was discussed during a House hearing Thursday.
March 05, 2026
Barred Advisor Charged With $3.3M Fraud Against LPL, Fidelity and TD AmeritradeA federal grand jury returned an 11-count indictment against Andrew Komarow.
March 05, 2026
Wells Fargo Free of Consent Orders for First Time in 15 YearsThe Federal Reserve said Thursday that it terminated the last one, which was issued in 2018.
March 04, 2026
Retired Teachers Win FINRA Fight With SchwabThirteen clients were awarded $3.8 million after claiming Schwab "concentrated their accounts in inappropriate holdings."