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.
Lawmakers Up in Arms Over Delay of AML Rule for Advisors
By Melanie WaddellRIAs serve as an entry point for foreign money tied to corruption and terrorism, Sen. Warren and others warn.
September 19, 2025
Senate Confirms Trump DOL Nominee AronowitzDaniel Aronowitz will head the department's Employee Benefits Security Administration, which writes retirement policy.
September 18, 2025
SEC Policy Shift Calls for Advisor ActionFirms should not interpret the current pause in rulemaking and the shift away from enforcement as a reprieve.
September 18, 2025
Rate Cut Won’t Ease Retirement Worries: Allianz LifeUncertainty is high around retirement income, health care costs and risk management, a new survey finds.
September 18, 2025
Ex-Advisor Sentenced to 3 Years for Bilking Investors, Including Pro AthletesIan Bell spent investors' money on trips, jewelry and his fiancée’s credit card bills, prosecutors said.
September 18, 2025
SEC Approves Faster Way for Exchanges to List Bitcoin, Gold ETPsThe SEC approved three exchanges’ request to speed up how quickly they can list ETPs that hold spot commodities.
September 17, 2025
FTC Takes Another Look at Non-CompetesThe agency has created a task force designed to identify anti-competitive agreements that affect the labor market.
September 17, 2025
SEC ‘Prioritizing’ Trump’s Push to Cull Quarterly ReportingThe SEC said in a statement it is pursuing a proposal to "further eliminate unnecessary regulatory burdens on companies."