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 2026 COLA Estimate Rises to 2.7%
By John ManganaroThe cost-of-living adjustment has risen for six months in a row, with headlines pointing to growing pressure from tariffs.
August 11, 2025
LPL Rep Sold Complex Product to 95 Year-Old Client, Violating Reg BIThe rep put the client in Government National Mortgage Association support class bonds, a mortgage-backed security.
August 08, 2025
Trump's 401(k) Order: What Advisors Should KnowThe executive order encourages participants in 401(k)s to invest in alternative assets; advisors say tread carefully.
August 08, 2025
Expanding Access to Alts: Proceed With CareAs we consider expanding access, it’s important to revisit key regulatory questions, such as the accredited investor definition.
August 07, 2025
Senator Looks to Hold Hearing on Social Security Investment FundSen. Cassidy's plan will "protect promised benefits, save the program, and can pass Congress," he tells ThinkAdvisor.
August 07, 2025
Ex-CNBC Guest Analyst Sentenced to 5 Years for Investment ScamFormer fugitive James Arthur McDonald had pleaded guilty to securities fraud.
August 06, 2025
Sen. Warren Presses SEC Chair on Consulting Firm SalePaul Atkins led Patomak Global Partners as founder and CEO, which included clients regulated by the SEC.
August 06, 2025
Ex-Merrill Broker Faces Disciplinary Process Tied to Trading, Sales PracticesAli Chehab wouldn't provide documents, FINRA alleges, and told staff: "I do not care if I get barred."