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 Fines BD $750K Over Texting
By Melanie WaddellBenjamin Edwards didn't supervise employees' messaging nor preserve and review reps' business-related texts, the order states.
January 30, 2026
Jeff Levine Calls Tax-Planning Gap Report an 'Indictment' of Advisor IndustryThe self-professed tax nerd says he was disappointed by the results of a recent BlackRock survey.
January 30, 2026
Strategist Warns Against a Hidden Threat in Private EquityPeter Dziedzic says life and annuity professionals can end up facing invisible conflicts of interest.
January 30, 2026
Debate: Should HSA Rules Be Tightened?Currently, once the account owner reaches age 65, there's penalty-free access for any purpose.
January 30, 2026
FINRA Hits Another BD With Reg BI, Form CRS FineGMS Group fell short on written supervisory procedures, according to the regulator.
January 30, 2026
Trump Picks a Reinvented Warsh to Lead the Federal ReserveKevin Warsh, 55, served on the bank's Board of Governors from 2006 to 2011 and advised Trump on economic policy.
January 29, 2026
Sen. Grassley Presses Labor Secretary on Alleged Misconduct: ReportLori Chavez-DeRemer has been accused of travel fraud and an inappropriate relationship; a spokeswoman calls the allegations false.
January 29, 2026
Trump, Dems Close to Immigration Deal to Avert ShutdownWithout an agreement, government funding will lapse on Saturday for much of the federal government.