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.
Phony Advisor Pleads Guilty to Defrauding 64 Investors
By Dinah Wisenberg BrinThe 24-year-old falsely presented himself as an advisor and claimed to work with a real brokerage.
October 01, 2025
Biggest Quarter Ever for RIA Deals: DeVoePrivate equity-backed consolidators represented the majority of Q3 activity, fueling consolidation, the consulting firm reports.
October 01, 2025
'This Is Not Shutdown Lite': Impasse Could Last Months, Strategist Warns"No one truly knows how long this shutdown will last," offers Jeff Bush of The Washington Update.
October 01, 2025
Judge Denies Merrill's Request to Restrain OpenArc Breakaway TeamMerrill sought to bar 12 advisors from soliciting its clients and from encouraging its employees to leave.
September 30, 2025
Social Security Ends Paper ChecksThe move will be "devastating" for the recipients who have permission to receive them, says Nancy Altman.
September 30, 2025
SEC Orders Operating Cost Cuts to CATThe costs of running the order-tracking system "have ballooned beyond belief," says Paul Atkins, the agency chair.
September 30, 2025
FINRA Issues Warning for Firms Outside the U.S.Even firms that operate abroad must respond to a FINRA request, the regulator says in a new notice.
September 29, 2025
What a 26% Haircut for Wealthy Recipients Could Mean for Social SecurityA recent research paper proposes reduced benefits for high earners to help preserve benefits for the most vulnerable.