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.

Quarter of SEC Actions Dealt With Off-Channel Communications in 2024: Report

November 21, 2024

Quarter of SEC Actions Dealt With Off-Channel Communications in 2024: Report
SEC Chair Gensler to Step Down

November 21, 2024

SEC Chair Gensler to Step Down
FINRA Fines CUNA Brokerage Services Over Deleted Rollover Records

November 19, 2024

FINRA Fines CUNA Brokerage Services Over Deleted Rollover Records
IRS to Drop Interest Rates in January

November 19, 2024

IRS to Drop Interest Rates in January
DOL Seeks More Data to Launch Retirement Savings Lost and Found Database

November 18, 2024

DOL Seeks More Data to Launch Retirement Savings Lost and Found Database
GOP Senator Calls for Rulemaking Halt Until Trump Takes Office

November 18, 2024

GOP Senator Calls for Rulemaking Halt Until Trump Takes Office
On Taxes and Retirement, Here's What Could Change in 2025

November 15, 2024

On Taxes and Retirement, Here's What Could Change in 2025
Trump Taps His Ex-SEC Chair Jay Clayton as U.S. Attorney for Manhattan

November 15, 2024

Trump Taps His Ex-SEC Chair Jay Clayton as U.S. Attorney for Manhattan
Gensler Makes Final Pitch on SEC Crypto Rules

November 14, 2024

Gensler Makes Final Pitch on SEC Crypto Rules
Debate: Should the SALT Deduction Cap Be Eliminated?

November 14, 2024

Debate: Should the SALT Deduction Cap Be Eliminated?