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.
AARP Demands Answers on Social Security Website Outages, Call Hang-Ups
By Melanie WaddellThe site is "crashing repeatedly" as field offices are overwhelmed with worried seniors, the retiree group says.
April 03, 2025
How to Help Clients Prepare for a Possible Estate Tax Exemption SunsetAdvisors and clients should prepare for the possibility that lawmakers' effort to renew the 2017 threshold falls apart.
April 03, 2025
SEC Nominee Atkins Advanced by Senate Banking CommitteeIf confirmed by the Senate, Atkins is expected to rein in SEC enforcement and shape digital asset regulations.
April 02, 2025
Trump's Social Security Nominee Advances to Full SenateThe Senate Finance Committee voted 14-13 late Wednesday to advance Fiserv CEO Frank Bisignano's nomination.
April 02, 2025
SEC to Restructure Regional OfficesThe change impacts 10 locations and will become effective April 9.
April 02, 2025
Ex-Morgan Stanley Advisor Sentenced to 12 Years in Fraud SchemeJesus Rodriguez of El Paso, Texas, spent clients' money on himself, including a Lamborghini purchase, authorities found.
April 02, 2025
Commonwealth Wins Reversal of $93M SEC Revenue Sharing PenaltyA court last year found Commonwealth liable for failing to disclose a mutual fund revenue-sharing pact.
April 01, 2025
BD to Pay $150K Over Reg BI, Form CRS FailuresThurston Springer's written policies discussed Reg BI in general terms and did not include procedures for delivering Form CRS.