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.
SEC ‘Prioritizing’ Trump’s Push to Cull Quarterly Reporting
By Lauren Dezenski and Lydia BeyoudThe SEC said in a statement it is pursuing a proposal to "further eliminate unnecessary regulatory burdens on companies."
September 17, 2025
SEC Postpones Hedge Fund Disclosure Deadline For a YearThe markets regulator voted to approve another delay — until Oct. 1, 2026.
September 16, 2025
SEC Accuses Florida Radio Host of Deceiving RetireesCharles Oliver used his radio show and podcast to lure clients to an investment scheme, the agency contends.
September 16, 2025
IRS Releases Final Rule on Roth Catch-UpsBeginning in 2026, highly paid employees can only make catch-up contributions to a Roth 401(k), says Ed Slott.
September 15, 2025
Wall Street Raises Alarm on Trump Ending Quarterly EarningsTrump is pushing for a six-month reporting schedule as opposed to the current every three-months format.
September 15, 2025
FINRA Accuses Ex-Broker of Cheating on Securities ExamJoshua E. Scholnick flunked the test, the regulator says.
September 15, 2025
6 Reasons to Consider Funding a Spousal IRAClient couples in which one spouse doesn't work should take a closer look these accounts and their contribution limits.
September 12, 2025
DOL Backs Morgan Stanley on Deferred CompAdvisors who left the wirehouse have argued they're owed millions in deferred compensation.