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.
State-Registered Investment Advisors, by the Numbers
By Michael S. FischerHere's a look at RIAs with $100 million or less under management.
September 09, 2025
Trump DOL Nominee Aronowitz May Get Confirmation Vote Next WeekSenate Majority Leader John Thune released Monday a resolution to speed up certain nominations.
September 05, 2025
Who Actually Needs to Register as a Broker-Dealer? — SEC RoundupAndreessen Horowitz and the DeFi Education Fund are proposing a "safe harbor" for fintech apps.
September 05, 2025
Massachusetts RIA to Pay $75K Over Marketing Rule ViolationsThe firm claimed in an ad that it “refuse[d] all conflicts of interest” without providing context, the SEC said.
September 05, 2025
5 Big Rules on the SEC's 2026 To-Do ListThe agency plans to propose and finalize some major directives this year and next, its agenda shows.
September 05, 2025
SEC and CFTC Start Bid to Align Agencies’ Rules for Wall StreetThe agencies said Friday that they would hold a roundtable Sept. 29 to discuss “regulatory harmonization.”
September 05, 2025
SEC Wiped Ex-Chair Gensler's Text MessagesThe agency's inspector general is recommending actions to strengthen the management of mobile devices and federal records.
September 04, 2025
Time Running Out to Secure Green Energy Tax BreaksThe recent tax and spending megabill significantly accelerates the repeal of the Biden-era clean energy credits.