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.
UnitedHealth Schools Senate Committee on Patient Risk Scoring
By Allison BellInvestigators found that the company's health assessment teams spotted ominous signs that patients' own doctors had missed.
January 13, 2026
Two DOL Aides on Leave After Inspector General Complaint: ReportsPolitico and the New York Post say the allegations involve concerns about travel scheduling for the Labor secretary.
January 13, 2026
Florida Man Faces Trial for Alleged $36M Ponzi SchemeBrent Seaman reportedly used victims' funds for his personal expenses and to pay earlier investors.
January 12, 2026
This Type of SALT Cap Workaround Is Not OK, Appeals Court ConfirmsCourts have upheld the IRS' position prohibiting charitable contribution-for-credit programs designed to offset cap effects.
January 12, 2026
Ex-Advisor Ordered to Pay $37M in Restitution for Bank Loan SchemeJesse T. Hill of Nebraska already was sentenced to five years for conspiracy to commit fraud.
January 12, 2026
FINRA Plans to Beef Up Fraud RulesThe regulator is seeking feedback on ways to modernize its regulations as scams rise.
January 12, 2026
Tax Filing Season Opens Jan. 26A delay until February had been anticipated due to changes related to the One Big Beautiful Bill Act.
January 12, 2026
Supreme Court to Review SEC Power to Recoup Illegal GainsThe case could blunt one of the agency’s most potent enforcement tools.