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.
Is the MSRB Unconstitutional? — SEC Roundup
By Nicolas Morgan and Tom ZaccaroThe American Securities Association has filed a petition challenging the constitutionality of the Municipal Securities Rulemaking Board.
March 20, 2025
SEC Releases New Marketing Rule FAQs on PerformanceThe updated guidance answers questions on advertising extracted performance and portfolio characteristics like Sharpe ratios and yields.
March 19, 2025
FINRA Panel Orders Stifel to Pay $7M to Breakaway AdvisorsThe award came the same week that the regulator ordered it to pay $132 million in another case.
March 19, 2025
Social Security to End Benefit Claiming by PhoneNew identity verification procedures, which also affect direct deposit changes, will require an online account or an office visit.
March 18, 2025
Smart Tax Moves for Advisory FirmsStrategic tax decisions can free up resources and help unlock your firm's potential.
March 18, 2025
SEC to Speed Review of Funds With ETF Share ClassesThe SEC has received more than 50 applications for these products, collectively representing trillions in AUM.
March 18, 2025
Acting SEC Head Remakes Agency Even Before Trump Pick ConfirmedMark Uyeda's moves signal a policy U-turn that will be more dramatic than during the Trump’s first term.
March 18, 2025
Baird to Pay More Than $650K Over Unnecessary FeesBaird must reimburse customers and pay a $100,000 FINRA fine for violating Reg BI and other rules.