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.
Staff Gone Rogue: Federal Action Without Commission Approval — SEC Roundup
By Nicolas Morgan and Tom ZaccaroAdministrative proceedings are continuing with the same flaws, with the Enforcement Division apparently emboldened to act without SEC authorization.
June 18, 2025
New Social Security Trustees Report Raises Fresh AlarmSignificant benefit cuts are expected in 2034, but experts say Congress still has time to fix the imbalance.
June 18, 2025
PNC to Pay $200,000 for Lax Annuity Exchange MonitoringThe firm failed to monitor reps’ rates of deferred variable annuity exchanges, FINRA said.
June 17, 2025
BDs Demand a Revamp of These FINRA RulesFINRA is conducting a broad review, and firms aren't mincing words on the changes they'd like to see.
June 13, 2025
SEC Names New Investment Management DirectorBrian Daly, a partner at Akin Gump Strauss Hauer & Feld, will replace Natasha Greiner, who departs July 4.
June 13, 2025
SEC Shreds Plans for 14 Major RulesThe list includes controversial proposals aimed at RIAs.
June 12, 2025
How to Avoid RMD Mistakes Around Roth ConversionsRMDs and Roth conversions are both taxable as ordinary income, but that doesn't mean they're interchangeable.
June 12, 2025
New York Tax Preparer Charged in $50M Fraud SchemeMiles Burton Marshall, arrested Monday, allegedly stole from nearly 1,000 investors in a decades-long scam.