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.
Warren, Sanders Press SEC, Labor to Explain Guardrails on Alts in 401(k)s
By Melanie WaddellIn a letter Tuesday, the senators expressed "serious concerns" about making private investments available in the accounts.
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.
October 24, 2025
Social Security COLA Disappoints Senior Groups (Again)The anticipated monthly benefit boost of $56 failed to impress groups like the AARP and Social Security Works.