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.
Judge Rejects $40M Class-Action Settlement in Vanguard Target-Date Selloff Case
By Dinah Wisenberg BrinPlaintiffs will get a better deal under an SEC settlement, the judge found.
May 19, 2025
Advisors Must Prepare for Where Crypto Is HeadedAs the tone changes toward the digital currency, strong compliance frameworks have never been more essential.
May 19, 2025
SEC to Review Trade Data CollectionThe CAT system has gotten pushback over costs and security risks, SEC chairman Paul Atkins says.
May 16, 2025
The Hottest Tax Legislation Debate Isn’t In WashingtonJoin Professors Byrnes and Bloink on June 11 for a fierce, but friendly, debate about tax policy.
May 16, 2025
New Bill Would Require SEC to Update 'Small Entity' DefinitionRaising the threshold, currently $25 million in AUM, would give small RIAs special consideration in federal rulemaking.
May 15, 2025
LPL Drops Suit Over Ameriprise's 'Defamatory' Data Breach NoticesThe financial services firms agreed that LPL could pursue claims with FINRA, among other points.
May 15, 2025
FINRA to Raise $100 Gift LimitThe regulator also plans to codify looser rules on personal gifts.
May 14, 2025
House Tax Bill Extends Crucial Deductions for Business-Owning ClientsThe bill reinstates 100% bonus depreciation and increases the break on qualified business income.