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.
Government Shutdown Has Cost Economy $18B: CBO
By Jarrell DillardThat figure “will intensify” in the weeks to come, according to the Congressional Budget Office.
October 28, 2025
Harvard Law Prof on Ending Quarterly Reports, Mandatory Arb: SEC RoundupHarvard Law Professor Hal Scott unpacks two current debates that will shape the future of U.S. public markets.
October 28, 2025
How to Help Clients Avoid Medicare IRMAA SurchargesCrossing certain MAGI thresholds mean extra fees for Parts B and D — and beware the two-year lookback.
October 28, 2025
BD Fined $100K for Letting Suspended Rep Keep WorkingIndependent Financial Group permitted the rep to enter securities orders through its clearing firm, FINRA said.
October 28, 2025
New Crypto ETFs Launch in Crowded Field Despite SEC ShutdownThe agency's shutdown guidance allows some filings to become effective automatically after 20 days.
October 27, 2025
FINRA Bars Ex-Raymond James Rep Accused of Stealing Client FundsJose Gamez failed to appear for testimony related to using client assets for personal reasons, the order states.
October 27, 2025
Suit Accuses First Trust of Aiding $89M Fraud Targeting RetireesThe scheme involved "extraordinarily risky" structured notes tied to Zoom, Tesla, Netflix and Amazon stocks, the filing contends.
October 24, 2025
Out of FINRA's Sight, 'Bad Brokers' Keep Working in Financial ServicesThese brokers often pivot to the insurance industry, where they are likely to reoffend, a new paper finds.