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.
Expect a Significant Shift Under a Paul Atkins SEC
By Carlo di FlorioThe next four years will present a host of new regulatory policies for advisors to understand and implement.
March 19, 2025
FINRA Panel Orders Stifel to Pay $7M to Breakaway AdvisorsThe award came the same week that the regulator ordered it to pay $132 million in another case.
March 19, 2025
Social Security to End Benefit Claiming by PhoneNew identity verification procedures, which also affect direct deposit changes, will require an online account or an office visit.
March 18, 2025
Smart Tax Moves for Advisory FirmsStrategic tax decisions can free up resources and help unlock your firm's potential.
March 18, 2025
SEC to Speed Review of Funds With ETF Share ClassesThe SEC has received more than 50 applications for these products, collectively representing trillions in AUM.
March 18, 2025
Acting SEC Head Remakes Agency Even Before Trump Pick ConfirmedMark Uyeda's moves signal a policy U-turn that will be more dramatic than during the Trump’s first term.
March 18, 2025
Baird to Pay More Than $650K Over Unnecessary FeesBaird must reimburse customers and pay a $100,000 FINRA fine for violating Reg BI and other rules.
March 17, 2025
Trump's CMS Chief Nominee Sees a Possible Medicare Plan Broker GlutDr. Mehmet Oz told a Senate panel that multiyear Medicare Advantage coverage might help.