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 Big FINRA Moves in 2025
By Melanie WaddellFINRA is tweaking a number of rules, including those around office supervision and gifting.
October 01, 2025
Judge Denies Merrill's Request to Restrain OpenArc Breakaway TeamMerrill sought to bar 12 advisors from soliciting its clients and from encouraging its employees to leave.
September 30, 2025
Social Security Ends Paper ChecksThe move will be "devastating" for the recipients who have permission to receive them, says Nancy Altman.
September 30, 2025
SEC Orders Operating Cost Cuts to CATThe costs of running the order-tracking system "have ballooned beyond belief," says Paul Atkins, the agency chair.
September 30, 2025
FINRA Issues Warning for Firms Outside the U.S.Even firms that operate abroad must respond to a FINRA request, the regulator says in a new notice.
September 29, 2025
What a 26% Haircut for Wealthy Recipients Could Mean for Social SecurityA recent research paper proposes reduced benefits for high earners to help preserve benefits for the most vulnerable.
September 29, 2025
U.S. Sues Investment Advisor Over $350M Fraud, Hedge Fund CollapseThe case is tied to separate charges that sparked a scandal and engulfed B. Riley Financial and its chairman Bryant Riley.
September 29, 2025
ETF Share Classes Coming Soon: A 'Huge Step Forward,' but Questions RemainDual share class funds could face conflict-of-interest issues, an asset management executive says.