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.
Acting SEC Head Remakes Agency Even Before Trump Pick Confirmed
By Nicola M. White and Lydia BeyoudMark Uyeda's moves signal a policy U-turn that will be more dramatic than during the Trump’s first term.
March 17, 2025
Wrongly Declared Dead: A Costly Social Security MistakeIt's rare, but the financial consequences for beneficiaries and their families can be steep.
March 14, 2025
FINRA Seeks Feedback on Remote Work, Branch Office RulesFINRA is undertaking a broad review of its rules and is looking for feedback by May 12.
March 14, 2025
Stifel to Pay $132M Over Structured NotesA family lost more than 65% of their investment due to the use of leverage, their lawyer says.
March 14, 2025
Trump Administration Ends Medicare's $2 Drug ProjectBiden administration officials estimated that the voluntary program could have cut costs for 32 million people.
March 13, 2025
8 Overlooked Tax Deductions and CreditsThese breaks can go a long way toward helping clients reduce their tax liability as much as possible.
March 13, 2025
FINRA’s Top 5 Fine Categories: 2024The $59 million in assessed penalties was down 35% from 2023, according to an analysis by Eversheds Sutherland.
March 13, 2025
'It's Going to Get Worse': Former Social Security Chief Calls for Acting Head to Resign“This is not going well," and a backlash is coming, former SSA Commissioner Michael Astrue says.