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.
Social Security to Resume Deferring Payments to Debt Collection
By Alex TanziSSA will once again withhold payments in order to repay defaulted loans to government agencies.
March 21, 2025
Expect a Significant Shift Under a Paul Atkins SECThe next four years will present a host of new regulatory policies for advisors to understand and implement.
March 20, 2025
Cambridge to Pay $15M Over Revenue Sharing, Wrap Account ConflictsThe firm will pay $10 million in disgorgement, $3 million in interest and a $1.8 million SEC fine.
March 20, 2025
SEC Releases New Marketing Rule FAQs on PerformanceThe updated guidance answers questions on advertising extracted performance and portfolio characteristics like Sharpe ratios and yields.
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.