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.
Americans Strongly Support 401(k) Plans, Tax Breaks
By Lucy PetersonNearly half of Americans with a 401(k) or similar plan say they probably wouldn't save for retirement otherwise.
February 27, 2026
How to Stay Out of TroubleEven if you think you're not hurting anyone, the consequences of bending or breaking the rules can be serious.
February 26, 2026
FINRA Bars Ex-Morgan Stanley Advisor Over Refusal to Share Info for ProbeThe advisor joined an RIA the month after his Morgan Stanley dismissal.
February 26, 2026
IRS Launches Web Page to Report FraudThe agency says it plans to streamline fraud reporting in the future.
February 26, 2026
SEC Bars Advisor Who Took $9.8M From Older ClientEjiro Ode Okuma used funds to build a luxury residence, purchase vehicles and buy vacation homes, the agency says.
February 26, 2026
Ritholtz to Launch Its First ETFThe actively managed Goaltender ETF will adjust stock exposure based on market trends.
February 26, 2026
DOL Releases New Indie Contractor Rule ProposalLabor is taking comments on the plan until April 28.
February 25, 2026
How to Avoid IRS Pitfalls When Borrowing From YourselfSolo 401(k) owners can take out loans from their retirement savings, but it's important to understand tax rules.