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.
Debate: Should the Tax Bill Increase the Business Income Deduction?
By Robert Bloink and William H. ByrnesThe Senate version of the bill would increase the QBI deduction to 23% and make other changes.
June 26, 2025
SEC Kicks Off Review of Rules Governing Executive Pay and PerksIt may overhaul rules affecting the disclosures of compensation, including bonus clawbacks.
June 25, 2025
Ex-Advisor Gets 8 Years for Bilking Clients, Widowed AuntScott Mason of Pennsylvania had pleaded guilty to misappropriating $17 million.
June 25, 2025
FINRA Seeks to Align BD, Advisor Portfolio Performance ProjectionsFINRA's board approved changes to its Communications With the Public rule to better align with the SEC's Marketing Rule.
June 24, 2025
Staff Gone Rogue: Federal Action Without Commission Approval — SEC RoundupAdministrative proceedings are continuing with the same flaws, with the Enforcement Division apparently emboldened to act without SEC authorization.
June 24, 2025
Ex-CFA Institute Executive Charged With Embezzling MillionsMichael J. Collins was arrested Monday on an eight-count indictment by the Manhattan district attorney’s office.
June 24, 2025
House Passes Bill to Expand Accredited Investor DefinitionThe bill freezes the financial thresholds and allows investors with certain education or experience to be considered "accredited."
June 18, 2025
New Social Security Trustees Report Raises Fresh AlarmSignificant benefit cuts are expected in 2034, but experts say Congress still has time to fix the imbalance.