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.

Dissecting a GOP Senator's Misleading Social Security Attack

December 04, 2024

Dissecting a GOP Senator's Misleading Social Security Attack
How to Avoid the Tax Trap of the Wash-Sale Rule

December 03, 2024

How to Avoid the Tax Trap of the Wash-Sale Rule
Western Asset Management Names New CEO After SEC Probe

December 03, 2024

Western Asset Management Names New CEO After SEC Probe
FINRA Explains How to Amend Form U4 Under Home Office Rule

December 02, 2024

FINRA Explains How to Amend Form U4 Under Home Office Rule
SEC Panel to Debate RIAs' Use of Mandatory Arb, Dangers of 'Finfluencers'

December 02, 2024

SEC Panel to Debate RIAs' Use of Mandatory Arb, Dangers of 'Finfluencers'
Are Small-Business Clients Ready for This Looming Deadline?

November 27, 2024

Are Small-Business Clients Ready for This Looming Deadline?
Atkins, Ex-SEC Commissioner, Could Succeed Gensler

November 27, 2024

Atkins, Ex-SEC Commissioner, Could Succeed Gensler