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.
Jeremy Siegel Sees 'Robust' Justification for Fed Rate Cuts
By Dinah Wisenberg BrinStatistics warrant two to three rate reductions by the end of 2025, the economist suggests.
April 28, 2025
Retiree Gets Jail for Role in $47M Insider Trading SchemeThe Oregon resident conspired with a Nuveen trader, now serving a six-year sentence, a court ruled.
April 25, 2025
Ray of Hope Emerges for 'Forever Bars': SEC RoundupIn four separate cases, the SEC has granted applications filed by barred professionals seeking to resume working.
April 24, 2025
Short Seller Loses Bid to Toss SEC Fraud CaseA lawsuit accuses Andrew Left of committing fraud through stock trades, social media posts and research reports.
April 24, 2025
Advisor Who Left for Raymond James Breached Contract, TD AllegesAbout 30 clients with $48 million in assets left after Adam Bracy's departure, the bank says.
April 24, 2025
Jury Finds Massachusetts Advisor Failed to Disclose Annuity Conflicts to RetireesThe verdict holds Jeffrey Cutter and his firm accountable for breaching fiduciary duties to clients, the SEC said.
April 22, 2025
Ryan Detrick: 3 Good Signs Amid Market TurmoilWhile risks are running high, the "monster under the bed" is likely not real, the Carson strategist says.
April 22, 2025
Jeremy Siegel: Tariffs Likely Temporary; Stocks on SaleU.S. stocks are 10% to 15% cheaper than in February, the economist noted.