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 Moves to Scrap Biden-Era Rule on Climate Risk Disclosures
By Nicola M. WhiteThe 2024 rules, which never went into effect, were "unsound as a matter of policy," the SEC said Friday.
May 28, 2026
Treasury Launches Trump Accounts AppThe tool "delivers a simple, secure way for households to begin engaging" with the program, according to Scott Bessent.
May 27, 2026
FINRA Orders Ex-Wells Fargo Broker to Repay $1M in Promissory NotesNorman Fuller Barrett failed to repay a recruiting loan after he was fired, a FINRA arbitrator found.
May 27, 2026
Schwab Advisor Pleads Not Guilty to Assault, Weapons ChargesThe charges stem from an alleged domestic violence incident, Denver County Court records show.
May 27, 2026
How to Overcome the Hidden Bottleneck in Advisor RecruitingThe real risk is in winning recruits and then handling everything that must happen after they say yes.
May 27, 2026
Robinhood Launches AI Stock Trading, Purchases on Credit CardsClients will soon be able to establish agentic trading accounts that are entirely separate from their standard portfolios.
May 26, 2026
JPMorgan Ordered to Pay $4.25M for Wrongful Firing of BrokerThe financial professional, now at Wells Fargo, alleged that his termination from the firm was defamatory.
May 26, 2026
Ex-Broker Pleads Guilty to $9.5M Ponzi SchemeEdwin Emmett Lickiss Jr., 78, admitted to defrauding investors over 26 years.