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.
Social Security Seeks to Limit Phone Services — Again
By Melanie WaddellThe proposed change would result in 3.4 million more people visiting field offices each year, the agency estimates.
July 29, 2025
Carson Group Says Ex-CMO Altered Evidence in LawsuitA lawyer for the former executive, Mary Kate Gulick, disputed the accusations.
July 28, 2025
Small-Business Owners Aren't Claiming 401(k) Startup Credits. What Gives?A new analysis shows only about 5.5% of “apparently eligible” firms claim the credit.
July 28, 2025
7 Ways Advisors Stand Out as ProfessionalsWith significant education, training and accountability, wealth managers are more than just salespeople.
July 28, 2025
Ex-Commonwealth Rep Lied About CE: FINRAFrancis Smith, now at Cambridge, was fined and suspended for having someone else complete his CE requirements.
July 28, 2025
FINRA Bars Ex-Northwestern Mutual Employee Over Faked Exam ScoreWillnard Love lied to his firm about passing the Securities Industry Essentials exam, the regulator found.
July 28, 2025
FINRA Takes a Hard Look at Its Enforcement ProgramThe review, conducted with outside experts, is aiming for "meaningful, common-sense improvements."
July 28, 2025
Citadel Securities Wins Case on SEC Audit Trail FundingAn appeals court invalidated the funding plan for a database that would've cost Wall Street billions in fees.