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.
SEC Proposes to Scrap Trade-Through Rule for Equities Execution
By Lydia BeyoudSEC Chairman Paul Atkins has been a critic of the rule since its inception.
June 11, 2026
PRO
How to Explore Annuities' Private Credit HoldingsThe assets in life and annuity contracts "can materially influence both performance and risk," wealth advisor Ryan Patton says.
June 10, 2026
Fidelity Picks Nationwide, New York Life for Target Date Lifetime Income ProgramThe new program will use a different legal framework than Fidelity's existing in-plan annuitization options.
June 10, 2026
Professional Investors Pan SEC Reporting Overhaul in SurveyAlmost two-thirds of investment analysts and portfolio managers said the SEC should keep mandatory quarterly financial reporting.
June 10, 2026
CFTC Floats Prediction Market Rule to Crack Down on War BetsThe plan would crack down on bets related to war, terrorism and assassination.
June 10, 2026
PRO
Beware of These Tax Traps When Clients Retire AbroadCurrency risk, overseas investment rules and different tax treatment of retirement accounts can trip clients up without careful planning.
June 10, 2026
PRO
How Worried Should Advisors Be About Social Security?Social Security "isn't going bankrupt," but advisors still have to help clients plan, retirement expert Jason Fichtner tells ThinkAdvisor.
June 09, 2026
SEC Warns Advisors on Conflicts in Cash Management, FeesA new risk alert points to deficiencies found during advisor exams.