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.
Advisors Must Prepare for Where Crypto Is Headed
By Carlo di FlorioAs the tone changes toward the digital currency, strong compliance frameworks have never been more essential.
May 16, 2025
New Bill Would Require SEC to Update 'Small Entity' DefinitionRaising the threshold, currently $25 million in AUM, would give small RIAs special consideration in federal rulemaking.
May 15, 2025
LPL Drops Suit Over Ameriprise's 'Defamatory' Data Breach NoticesThe financial services firms agreed that LPL could pursue claims with FINRA, among other points.
May 15, 2025
FINRA to Raise $100 Gift LimitThe regulator also plans to codify looser rules on personal gifts.
May 14, 2025
House Tax Bill Extends Crucial Deductions for Business-Owning ClientsThe bill reinstates 100% bonus depreciation and increases the break on qualified business income.
May 14, 2025
Retiree Sues Schwab, Hightower Over $422,000 Portfolio LossThe firms misrepresented a risky margin loan as a safe credit line and made unauthorized trades, the suit says.
May 13, 2025
Vanguard Shared Client Trades With Google and LinkedIn: LawsuitThe proposed class action involves consumers who use Vanguard's website or mobile app.
May 13, 2025
2026 Social Security COLA Estimate Rises to 2.4%The projected COLA has risen again, but it’s still running slightly below the 2025 figure.