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.
6 Reasons Social Security Is Getting Even Shakier
By John ManganaroSignificant concerns include a high pace of deportations and longer lifespans, Alicia Munnell writes.
July 02, 2025
Remote FINRA Inspections Raise Misconduct Risk: PIABAFully remote supervision and inspections of home offices would undermine investor protection, the attorney group says.
July 01, 2025
Rep Fined, Suspended for Not Disclosing Outside Business ActivityThe rep was a trustee to the estate of a deceased Cambridge customer without prior notice, FINRA says.
July 01, 2025
Ex-LPL Advisor Suspended After Family Named as Client's BeneficiariesA client designated the advisor's wife as primary beneficiary on six LPL accounts, FINRA says.
June 30, 2025
SEC in Talks to Raise AUM Threshold for Advisor RegistrationDiscussions are happening between the SEC and the states, sources say.
June 30, 2025
The Rise of Human-AI Teams in Life InsuranceAI can elevate consumer trust by making Reg BI possible.
June 27, 2025
9 Key Tax Considerations for NewlywedsClients should consider a number of important tax-related actions as soon as possible after marriage.
June 27, 2025
SEC Denies Requests to Alter More Texting SettlementsPerella Weinberg Partners and Kroll Bond Rating Agency asked the SEC to “equalize” certain settlement undertakings.