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.
12 States With the Most RIAs Registered Outside the U.S.
By Michael S. FischerSmartAsset’s research found that 2.6% of all U.S.-based RIAs are registered with a foreign regulatory authority.
July 31, 2025
Goldman Sachs Taps Republican Fixer to Succeed Chief LobbyistGoldman Sachs Group Inc.’s chief global lobbyist, Michael Paese, is moving on after 16 years.
July 30, 2025
Ex-Raymond James Advisor Barred Over Probe Tied to Elderly ClientsAfter 26 years in the business, Meredith Archer failed to testify about whether she misappropriated client assets.
July 30, 2025
Cracks in the CAT: Court Rules Against SEC’s Massive Surveillance Tool — SEC RoundupThe SEC’s Consolidated Audit Trail just got a major reality check from the 11th Circuit Court of Appeals.
July 30, 2025
Are Annuity Buyers Gaming the System?Retirement researchers Michael Finke and David Blanchett find there are ways to maximize the value of state protections.
July 30, 2025
Social Security Seeks to Limit Phone Services — AgainThe proposed change would result in 3.4 million more people visiting field offices each year, the agency estimates.
July 29, 2025
Tax and Investing Pitfalls Greet Americans Who Move to Europe"Certain investing techniques don’t work here," France-based advisor Robert Levitt tells ThinkAdvisor.
July 29, 2025
In Rare Move, SEC Overturns a FINRA Bar Over Test-TakingAn SEC decision to reduce the rep's bar to a suspension is raising eyebrows.