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.
Withdrawn DOL Guidance on ESOPs Still Offers Fair Value Insight
By Robert Bloink and William H. ByrnesPlan fiduciaries may wish to consider the proposed language related to purchases or sales of private company stock.
March 27, 2025
Trump Pick for SEC Faces Sharp Conflict-of-Interest ScrutinyHe told lawmakers he'd work on “clear rules of the road” for Wall Street and digital-asset firms.
March 25, 2025
Barred Broker Charged in Alleged $1.24M Ponzi SchemeMarat Likhtenstein, who was fired from Osaic in 2024, now faces grand larceny charges.
March 25, 2025
Senators Praise and Press Social Security NomineePartisan divisions about the future of the program were on full display in the hearing with Frank Bisignano.
March 25, 2025
SEC Chair Nominee, Spouse Worth at Least $327MIf confirmed, Paul Atkins could become the wealthiest SEC chair in recent decades.
March 24, 2025
$500B in Lost Tax Revenue? Unlikely, Cato Scholar SaysThe gap between taxes owed and taxes paid has remained stable over time, Chris Edwards says.
March 24, 2025
Tax Revenue on Track to Fall $500B in 2025: ReportAnonymous IRS officials told the Washington Post that they expect a 10% decline in tax receipts.
March 24, 2025
SEC to Lose About 500 Staffers to Buyout, Resignation OffersThe number may climb even higher as additional people accept the buyout ahead of Friday’s deadline.