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.
Quiz: Do You Know These ETF Tax Facts?
By John ManganaroOnly the tax-savviest can ace the quiz, but all advisors can learn something new about exchange-traded funds.
September 18, 2025
Rate Cut Won't Ease Retirement Worries: Allianz LifeUncertainty is high around retirement income, health care costs and risk management, a new survey finds.
September 18, 2025
Ex-Advisor Sentenced to 3 Years for Bilking Investors, Including Pro AthletesIan Bell spent investors' money on trips, jewelry and his fiancée’s credit card bills, prosecutors said.
September 18, 2025
SEC Approves Faster Way for Exchanges to List Bitcoin, Gold ETPsThe SEC approved three exchanges’ request to speed up how quickly they can list ETPs that hold spot commodities.
September 17, 2025
FTC Takes Another Look at Non-CompetesThe agency has created a task force designed to identify anti-competitive agreements that affect the labor market.
September 17, 2025
SEC ‘Prioritizing’ Trump’s Push to Cull Quarterly ReportingThe SEC said in a statement it is pursuing a proposal to "further eliminate unnecessary regulatory burdens on companies."
September 17, 2025
A Flat Social Security Benefit Could Save the System — Or Threaten ItOther developed nations use a flat public pension formula. Would it work in the U.S.?
September 17, 2025
Ex-Citi Rep Fined, Suspended Over Outside Business ActivityMaximiliano Ramirez was a member and 50% owner of an insurance agency while at Citigroup Global Markets, FINRA says.