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.
SEP IRAs vs. Solo 401(k)s: What Small-Business Owners Should Know
By Robert Bloink and William H. ByrnesMany owners spend their working years focusing on growing a business, at the expense of fully funding retirement accounts.
August 22, 2025
Proposed Social Security-Style Long-Term Care Benefit Gets High MarksProvisions of the WISH Act would dramatically improve many Americans’ retirement prospects, a Morningstar report suggests.
August 22, 2025
Client of Scamming Ex-Advisor Accuses JPMorgan Chase of NegligenceScott Mason, of suburban Philadelphia, was sentenced to prison for draining millions from wealthy clients.
August 22, 2025
SEC Chief Taps Armed Forces Judge to Lead Enforcement UnitSEC Chair Paul Atkins selected Margaret “Meg” Ryan, who once clerked for Supreme Court Justice Clarence Thomas.
August 21, 2025
The New Question Everyone Seems to Be Asking About AISome skepticism is understandable, Orion CEO Natalie Wolfsen says, but ignoring the tech is an unviable path.
August 21, 2025
Social Security Retirement Age Must Stay Put: House ResolutionHouse Democrats have introduced a measure voicing their opposition to any increase, citing Trump's promise.
August 20, 2025
How 401(k) Millionaires Fit Into the Accredited Investor ClassThese investors should get access to sophisticated investments, a new report by David Blanchett and others argues.
August 19, 2025
Advisor's Widow to Pay $3.8M Over Husband's Alleged Ponzi SchemeThe deal is tied to the SEC's pursuit of Stephen Romney Swensen's estate in an alleged $29 million securities scam.