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’s Peirce Says Tokenized Securities Must Comply With Rules
By Nicola M. WhitePutting digital versions of stocks on a blockchain doesn’t mean companies can skirt securities laws, she said.
July 09, 2025
Jefferies Advisor in Miami Barred by FINRAThe former wealth advisor refused to provide the regulator with information it had requested.
July 09, 2025
Court Fines Annuity Holder for Arguing Income Taxes Are VoluntaryThe judge added a $1,000 frivolous-position penalty to the total the taxpayer owed.
July 08, 2025
6 Reasons Social Security Is Getting Even ShakierSignificant concerns include a high pace of deportations and longer lifespans, Alicia Munnell writes.
July 07, 2025
Debate: Should 401(k)s Allow Private Equity Investments?A potential executive order would direct Labor and the SEC to identify ways to integrate nontraditional options.
July 02, 2025
401(k) Warning: Don't Confuse 'After-Tax' With RothWhen a 401(k) account contains both pre- and after-tax dollars, the pro rata rule applies to distributions.
July 02, 2025
Remote FINRA Inspections Raise Misconduct Risk: PIABAFully remote supervision and inspections of home offices would undermine investor protection, the attorney group says.
July 01, 2025
Rep Fined, Suspended for Not Disclosing Outside Business ActivityThe rep was a trustee to the estate of a deceased Cambridge customer without prior notice, FINRA says.