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.

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
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