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.
Schwab Faces Cash Sweeps Suit Alleging Elder Financial Abuse
By Dinah Wisenberg BrinThe complaint is among many accusing firms of paying unreasonably low interest on cash sweep balances.
August 12, 2025
Trump Names Heritage’s Antoni to Lead BLSThe chief economist of the conservative foundation wants a “top to bottom” review of the Bureau of Labor Statistics.
August 11, 2025
Trump Removes IRS CommissionerPresident Donald Trump removed former congressman Billy Long as IRS commissioner after less than two months on the job.
August 11, 2025
LPL Rep Sold Complex Product to 95 Year-Old Client, Violating Reg BIThe rep put the client in Government National Mortgage Association support class bonds, a mortgage-backed security.
August 08, 2025
Trump's 401(k) Order: What Advisors Should KnowThe executive order encourages participants in 401(k)s to invest in alternative assets; advisors say tread carefully.
August 08, 2025
Expanding Access to Alts: Proceed With CareAs we consider expanding access, it’s important to revisit key regulatory questions, such as the accredited investor definition.
August 07, 2025
Senator Looks to Hold Hearing on Social Security Investment FundSen. Cassidy's plan will "protect promised benefits, save the program, and can pass Congress," he tells ThinkAdvisor.
August 07, 2025
Ex-CNBC Guest Analyst Sentenced to 5 Years for Investment ScamFormer fugitive James Arthur McDonald had pleaded guilty to securities fraud.