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.

Jefferies Advisor in Miami Barred by FINRA

July 09, 2025

Jefferies Advisor in Miami Barred by FINRA
Court Fines Annuity Holder for Arguing Income Taxes Are Voluntary

July 09, 2025

Court Fines Annuity Holder for Arguing Income Taxes Are Voluntary
6 Reasons Social Security Is Getting Even Shakier

July 08, 2025

6 Reasons Social Security Is Getting Even Shakier
Debate: Should 401(k)s Allow Private Equity Investments?

July 07, 2025

Debate: Should 401(k)s Allow Private Equity Investments?
401(k) Warning: Don't Confuse 'After-Tax' With Roth

July 02, 2025

401(k) Warning: Don't Confuse 'After-Tax' With Roth
Remote FINRA Inspections Raise Misconduct Risk: PIABA

July 02, 2025

Remote FINRA Inspections Raise Misconduct Risk: PIABA
Rep Fined, Suspended for Not Disclosing Outside Business Activity

July 01, 2025

Rep Fined, Suspended for Not Disclosing Outside Business Activity