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.
Jeremy Siegel: Tariffs Likely Temporary; Stocks on Sale
By Dinah Wisenberg BrinU.S. stocks are 10% to 15% cheaper than in February, the economist noted.
April 21, 2025
Bob Doll: Investors Losing Trust in Trump"Individuals and businesses came into 2025 with misplaced optimism in the president's plans," he says.
April 18, 2025
SEC Pushes Back on DOGE Access to Some Agency DataEliezer Mishory, who's leading the DOGE team at the SEC, requested staff emails, personnel data and contracts.
April 17, 2025
Ex-Morgan Stanley Rep Barred by FINRA for Alleged Profit-Sharing SchemeFINRA says Joseph Eisler secretly helped a client trade newly issued stock so he could profit from the arrangement.
April 17, 2025
How Opening a Morgan Stanley Account Led to a Fraud ArrestThe firm alerted authorities after a Georgia man tried to deposit $32.5 million into a brokerage account, prosecutors allege.
April 16, 2025
SEC Won't Modify Texting Settlements for LPL, Raymond James, 14 OthersSixteen firms sought to change their off-channel messaging orders, saying firms that settled later got better terms.
April 16, 2025
SEC Backs Off Dealer Rule, but Legal Uncertainty Remains — SEC RoundupThe fight over who qualifies as a securities dealer isn’t finished.
April 16, 2025
Trump Aims to Cut Medicare Prescription Coverage CostsA new executive order could change Part D benefit rules and a new Medicare drug price negotiation program.