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.
What a 26% Haircut for Wealthy Recipients Could Mean for Social Security
By John ManganaroA recent research paper proposes reduced benefits for high earners to help preserve benefits for the most vulnerable.
September 29, 2025
SEC Chief Dismisses Talk of Merger With CFTC"The CFTC and SEC have operated in parallel lanes too often in conflict with each other," Paul Atkins said Monday.
September 29, 2025
SEC Head Vows to Fast-Track Plan to End Quarterly ReportsPaul Atkins says Trump's proposal will give companies the option to report on a semi-annual basis.
September 29, 2025
SEC Plans to Let Dimensional Offer Dual Share Class FundsRoughly 70 other asset managers are waiting to hear back from the SEC on their applications.
September 26, 2025
Roth Conversions in the 37% Bracket? Sometimes, It Makes SenseTaxes may rise, and retirement income is often higher than wealthy clients expect, Jeff Levine and Ed Slott say.
September 26, 2025
FINRA to Send Revised Outside Business Activity Plan to SECIndustry officials are bracing to see if the proposal includes changes to supervisory requirements for outside RIA activity.
September 26, 2025
Draft Guidance Could Boost Best-Interest ComplianceIndustry groups hope to keep state regulators from adding new ways to monitor firms and people.
September 26, 2025
Guardrails Needed on Alts in 401(k)s: SEC Chief AtkinsThe SEC and Labor Department have "to work hand and glove" to lay ground rules, Atkins said Thursday.