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 Sends Revised Outside Business Activity Rule to SEC
By Melanie WaddellFINRA's new plan clarifies "a number of sticking points," including supervisory requirements for outside RIA activity, says ACA's Cooke.
January 20, 2026
New SEC Marketing Rule FAQ Tackles Fees, TestimonialsMore FAQs are likely on the way as the industry seeks clarity on the rule, says Valerie Mirko.
January 20, 2026
Wells Fargo to Move Wealth Headquarters to West Palm BeachThe new office means the unit’s leaders can be closer to their largest clients, said wealth chief Barry Sommers.
January 16, 2026
What to Know About RMDs and Roth Conversions in 2026While many transactional deadlines aren’t until year-end, others arrive in a few months.
January 16, 2026
Trump Wants to Let Americans Tap 401(k)s to Buy HomesNational Economic Council Director Kevin Hassett told Fox Business the full plan will be detailed next week.
January 15, 2026
TaxStatus Adds Two Productivity ToolsThe firm has rolled out a tax prep checklist and a tax return history solution to aid advisors.
January 15, 2026
Ex-Advisor Pleads Guilty in $72M Ponzi SchemeAmong eight defendants in the Ohio case, Doug Miller was the second to plead guilty.
January 15, 2026
DOL's Plan for Alts in 401(k)s Lands at OMBThe proposal is a response to a Trump executive order on the subject.