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.
Paul Atkins Sworn in as SEC Chair
By Melanie WaddellAtkins must now contend with DOGE, market turbulence and a slimmed-down staff.
April 17, 2025
Ex-Morgan Stanley Rep Barred by FINRA for Alleged Profit-Sharing SchemeFINRA says Joseph Eisler secretly helped a client trade newly issued stock so he could profit from the arrangement.
April 17, 2025
How Opening a Morgan Stanley Account Led to a Fraud ArrestThe firm alerted authorities after a Georgia man tried to deposit $32.5 million into a brokerage account, prosecutors allege.
April 16, 2025
SEC Won't Modify Texting Settlements for LPL, Raymond James, 14 OthersSixteen firms sought to change their off-channel messaging orders, saying firms that settled later got better terms.
April 16, 2025
SEC Backs Off Dealer Rule, but Legal Uncertainty Remains — SEC RoundupThe fight over who qualifies as a securities dealer isn’t finished.
April 16, 2025
Trump Aims to Cut Medicare Prescription Coverage CostsA new executive order could change Part D benefit rules and a new Medicare drug price negotiation program.
April 15, 2025
Make Tax Season the Starting Line for Year-Round PlanningOngoing conversations provide added value and an elevated experience for clients long after they file their returns.
April 15, 2025
FINRA Reevaluates Its Office CategoriesThe regulator is exploring the impact of new technology and hybrid work on how offices should be supervised.