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.

Atkins, Ex-SEC Commissioner, Could Succeed Gensler

November 27, 2024

Atkins, Ex-SEC Commissioner, Could Succeed Gensler
More Than 60 Brokers Hit With FINRA Sanctions Over CE Cheating

November 27, 2024

More Than 60 Brokers Hit With FINRA Sanctions Over CE Cheating
Court Strikes Down SEC Dealer Rule: SEC Roundup

November 27, 2024

Court Strikes Down SEC Dealer Rule: SEC Roundup
Robinhood’s Gallagher Drops Out of SEC Chair Consideration

November 26, 2024

Robinhood’s Gallagher Drops Out of SEC Chair Consideration
Leech Shunted $600M to Favored Portfolios: SEC, DOJ

November 26, 2024

Leech Shunted $600M to Favored Portfolios: SEC, DOJ
SEC Sanctions Hit New High at $8.2B in 2024

November 25, 2024

SEC Sanctions Hit New High at $8.2B in 2024
Ex-LPL Rep Let Business Partner Sign for Customers: FINRA

November 25, 2024

Ex-LPL Rep Let Business Partner Sign for Customers: FINRA
Trump Picks Lori Chavez-DeRemer as Labor Secretary

November 25, 2024

Trump Picks Lori Chavez-DeRemer as Labor Secretary
Court Limits FINRA's Power to Expel Brokerages

November 22, 2024

Court Limits FINRA's Power to Expel Brokerages
Expect Secure 3.0 and a Major Tax Bill Next Year

November 22, 2024

Expect Secure 3.0 and a Major Tax Bill Next Year