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.
Advisors Expect Stock Gains, With High Volatility, in 2026
By Michael S. FischerNine in 10 advisors see a decline of at least 10% at some point, an InspereX survey reports.
December 04, 2025
Barclays Fined $325K for Failing to Supervise Outside Brokerage AccountsThe BD lacked procedures to collect and review employee-held outside account statements for prohibited trading, FINRA said.
December 04, 2025
IRS Mentions Annuities in New Trump Baby Account Regulation NoticeOfficials also talked about the kinds of nonbank entities that can act as account trustees.
December 03, 2025
Osaic to Pay $3M Over Mutual Fund Switches at Securities AmericaThe BD failed to supervise Class A fund switches, leaving customers with $2 million in fees, FINRA said.
December 03, 2025
IRS Issues Trump Account GuidanceOne takeaway: It appears Roth conversions will be allowed, says planning expert Ben Henry-Moreland.
December 03, 2025
SEC Halts High-Leveraged ETF Plans in Warning Over RisksIt aims to block new products that deliver three and even five times the daily returns of stocks, commodities and cryptocurrencies.
December 02, 2025
Robo-Advisor Wealthfront, Backers Seeking $485M in IPOThe company plans to market shares for $12 to $14 each, according to its SEC filing.
December 02, 2025
Answers on Alts in 401(k)s, New Fiduciary Rule on Deck in 2026Imminent guidance on Trump accounts is also expected, says former retirement official Mark Iwry.