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.
Retiree Sues Schwab, Hightower Over $422,000 Portfolio Loss
By Dinah Wisenberg BrinThe firms misrepresented a risky margin loan as a safe credit line and made unauthorized trades, the suit says.
May 13, 2025
House Tax Plan: The Details Advisors Need to KnowJeff Levine breaks down key provisions of the House Republicans' draft tax bill, up for debate Tuesday.
May 13, 2025
FINRA Rules Need 'Constant' Attention: CEO CookThe regulator plans to overhaul outdated rules and embrace "continuous" change, Robert Cook said at FINRA's annual conference.
May 09, 2025
FINRA Suspends Rep for Unsuitable Annuity SwitchesThe rep recommended that customers exchange their existing variable annuities for a higher-cost L-share contract.
May 09, 2025
FINRA Working to Modify Firms' SEC Texting SettlementsFINRA will consult with the SEC to modify the "collateral consequences" of agreements made with 77 firms.
May 08, 2025
10 Years On, Social Security’s Deemed Filing Rules Still ConfuseNuanced questions about the claiming strategy keep tripping people up, especially in cases of divorce.
May 08, 2025
Social Security Backs Down on 100% ClawbacksIn an "emergency message" to employees, the agency ordered a 50% withholding rate for retirement benefit overpayments.
May 08, 2025
Wall Street Brokers Risk Losing Billions in Fees on SEC ShiftA potential regulatory shift in favor of the ETF industry is expected to shake up the business models.