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.

Federal Regulation

Staff Gone Rogue: Federal Action Without Commission Approval — SEC Roundup

By Nicolas Morgan and Tom Zaccaro
New Social Security Trustees Report Raises Fresh Alarm

June 18, 2025

New Social Security Trustees Report Raises Fresh Alarm
PNC to Pay $200,000 for Lax Annuity Exchange Monitoring

June 18, 2025

PNC to Pay $200,000 for Lax Annuity Exchange Monitoring
BDs Demand a Revamp of These FINRA Rules

June 17, 2025

BDs Demand a Revamp of These FINRA Rules
SEC Names New Investment Management Director

June 13, 2025

SEC Names New Investment Management Director
SEC Shreds Plans for 14 Major Rules

June 13, 2025

SEC Shreds Plans for 14 Major Rules
How to Avoid RMD Mistakes Around Roth Conversions

June 12, 2025

How to Avoid RMD Mistakes Around Roth Conversions
New York Tax Preparer Charged in $50M Fraud Scheme

June 12, 2025

New York Tax Preparer Charged in $50M Fraud Scheme