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.
How Staff Cuts and Office Shakeups Could Affect Social Security Beneficiaries
By John ManganaroThe number of field offices may not fall dramatically, experts say, but service strains are possible.
March 31, 2025
Musk’s DOGE Staffers Arrive at SEC to Hunt for Spending CutsSEC staff were instructed to treat Musk advisors as internal employees, according to an email.
March 28, 2025
Social Security Is Not Giving Straight Answers on Field Office ClosuresThe agency's leader says it's not closing field offices, but a Social Security advocate calls that claim "deceptive."
March 28, 2025
'Naming and Shaming' Discourages Advisor Misconduct: StudyNew research found that firms with high misconduct rates cleaned up their acts after their names were published.
March 27, 2025
Debate: Do Consumers Benefit From Proposed ACA Changes?Enrollees would be required to provide additional information to prove that they are eligible for special enrollment periods.
March 27, 2025
Withdrawn DOL Guidance on ESOPs Still Offers Fair Value InsightPlan fiduciaries may wish to consider the proposed language related to purchases or sales of private company stock.
March 27, 2025
Social Security Partly Reverses New Phone Service LimitsAn in-person ID verification requirement won’t apply to disability insurance, Medicare and SSI applications.
March 27, 2025
FINRA Orders Firm Expelled After Chief Justice Denies Emergency ClaimThe expulsion of Alpine Securities, which is challenging FINRA's constitutionality, won't take effect unless the SEC upholds it.