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 May Close Offices in Philadelphia, Los Angeles
By Lydia BeyoudThe moves are part of a General Services Administration plan to cut government office space and related costs.
March 04, 2025
Citi Copy-Paste Error Almost Sent $6B to Wealth AccountThe error occurred in the same month that the bank accidentally credited $81 trillion to a different client.
March 03, 2025
SEC Dangles $50K Incentive for Employees to Resign or RetireThe voluntary separation incentive, or voluntary early retirement program, has a March 21 deadline.
March 03, 2025
Ex-Social Security Head Warns of 'System Collapse' as SSA Plans to Cut 7,000 JobsAn interruption of benefits is likely within the next 90 days, former Commissioner Martin O'Malley says.
March 03, 2025
LPL, Ex-Ameriprise Advisor Take a FINRA Hit in Recruiting BattleAn arbitration panel enjoined Douglas Kenoyer and said he wasn't entitled to Broker Protocol protections due to his conduct.
February 28, 2025
Social Security Administration Plans 'Massive' RestructuringThe agency's acting commissioner warned employees to prepare for mass layoffs.
February 28, 2025
Social Security Contractors Cut Off as DOGE Targets AgencyThe acting chief says SSA has cut half of its outsourced IT spending and is dismissing 200 employees.
February 28, 2025
State Street, Apollo’s Private Credit ETF Raises SEC ConcernThe SEC asked the firms for more information in a letter Thursday, expressing worry on the fund’s liquidity.