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.
Wealthy Clients Also Have Medicare Knowledge Gaps
By Stephanie JonesA plan operations specialist looks at what even people who know plenty might miss.
December 05, 2025
Pandemic-Era Surge of New Investors Is OverRisk appetite is down, and interest in crypto appears to be declining, FINRA research finds.
December 04, 2025
Draft Guidelines Could Shape States' Efforts to Regulate Annuity SellersA regulator group will review the "best interest" guidance at a meeting next week.
December 04, 2025
Barclays Fined $325K for Failing to Supervise Outside Brokerage AccountsThe BD lacked procedures to collect and review employee-held outside account statements for prohibited trading, FINRA said.
December 04, 2025
IRS Mentions Annuities in New Trump Baby Account Regulation NoticeOfficials also talked about the kinds of nonbank entities that can act as account trustees.
December 03, 2025
Osaic to Pay $3M Over Mutual Fund Switches at Securities AmericaThe BD failed to supervise Class A fund switches, leaving customers with $2 million in fees, FINRA said.
December 03, 2025
IRS Issues Trump Account GuidanceOne takeaway: It appears Roth conversions will be allowed, says planning expert Ben Henry-Moreland.
December 03, 2025
SEC Halts High-Leveraged ETF Plans in Warning Over RisksIt aims to block new products that deliver three and even five times the daily returns of stocks, commodities and cryptocurrencies.