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.

Ex-CFA Institute Executive Charged With Embezzling Millions

June 24, 2025

Ex-CFA Institute Executive Charged With Embezzling Millions
House Passes Bill to Expand Accredited Investor Definition

June 24, 2025

House Passes Bill to Expand Accredited Investor Definition
New Social Security Trustees Report Raises Fresh Alarm

June 18, 2025

New Social Security Trustees Report Raises Fresh Alarm
PNC to Pay $200,000 for Lax Annuity Exchange Monitoring

June 18, 2025

PNC to Pay $200,000 for Lax Annuity Exchange Monitoring
BDs Demand a Revamp of These FINRA Rules

June 17, 2025

BDs Demand a Revamp of These FINRA Rules
SEC Names New Investment Management Director

June 13, 2025

SEC Names New Investment Management Director
SEC Shreds Plans for 14 Major Rules

June 13, 2025

SEC Shreds Plans for 14 Major Rules