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.
Judge Gives DOL 60 Days to Mull Fiduciary Rule Appeal
By Melanie WaddellLabor must decide whether to continue the Biden administration's fight for the 2024 Retirement Security Rule.
February 20, 2025
Musk’s DOGE to Lead Trump’s Purge of Federal RegulationsDOGE and the Office of Management and Budget will develop an agenda to rescind or scale back rules.
February 20, 2025
SEC Launches New Cyber Unit to Combat FraudThe Cyber and Emerging Technologies Unit replaces the Crypto Assets and Cyber Unit.
February 19, 2025
This Secure 2.0 Quirk Could Stop High Earners’ Retirement Catch-Up ContributionsThe fact that employers aren’t required to offer Roth accounts could have a big unintended effect.
February 19, 2025
Trump's DOL Pick Backs Better Benefits for Independent ContractorsSupporting independent contractors "is key to growing this economy," Lori Chavez-DeRemer told senators Wednesday.
February 19, 2025
No, Social Security Is Not Rife With FraudThe notion that millions of dead people are receiving checks is "absurd, corrosive nonsense," a financial writer says.
February 18, 2025
SEC Fines One Oak Capital, Rep Over Account ConversionsThe firm failed to disclose that conversions from brokerage to advisory accounts would result in higher fees.