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.
Trump Removes IRS Commissioner
By Hadriana LowenkronPresident Donald Trump removed former congressman Billy Long as IRS commissioner after less than two months on the job.
August 08, 2025
Expanding Access to Alts: Proceed With CareAs we consider expanding access, it’s important to revisit key regulatory questions, such as the accredited investor definition.
August 07, 2025
Senator Looks to Hold Hearing on Social Security Investment FundSen. Cassidy's plan will "protect promised benefits, save the program, and can pass Congress," he tells ThinkAdvisor.
August 07, 2025
Ex-CNBC Guest Analyst Sentenced to 5 Years for Investment ScamFormer fugitive James Arthur McDonald had pleaded guilty to securities fraud.
August 06, 2025
Sen. Warren Presses SEC Chair on Consulting Firm SalePaul Atkins led Patomak Global Partners as founder and CEO, which included clients regulated by the SEC.
August 06, 2025
Ex-Merrill Broker Faces Disciplinary Process Tied to Trading, Sales PracticesAli Chehab wouldn't provide documents, FINRA alleges, and told staff: "I do not care if I get barred."
August 06, 2025
For Annuities, Stable Rules May Beat Fewer Rules, Issuers Tell DOLInsurers warned that killing old regulations that are still in use could cause big problems.
August 05, 2025
Fidelity Brokerage Says Former VP Took Client InfoAdam Ritter is misusing confidential information to solicit customers to his new firm, a lawsuit alleges.