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.
5 Annuity Issuer Risks on the Fed's Radar
By Allison BellOfficials are casting a wary eye on some of the riskier investments in insurers' portfolios.
April 24, 2025
Short Seller Loses Bid to Toss SEC Fraud CaseA lawsuit accuses Andrew Left of committing fraud through stock trades, social media posts and research reports.
April 24, 2025
Advisor Who Left for Raymond James Breached Contract, TD AllegesAbout 30 clients with $48 million in assets left after Adam Bracy's departure, the bank says.
April 24, 2025
Jury Finds Massachusetts Advisor Failed to Disclose Annuity Conflicts to RetireesThe verdict holds Jeffrey Cutter and his firm accountable for breaching fiduciary duties to clients, the SEC said.
April 22, 2025
Ryan Detrick: 3 Good Signs Amid Market TurmoilWhile risks are running high, the "monster under the bed" is likely not real, the Carson strategist says.
April 22, 2025
Jeremy Siegel: Tariffs Likely Temporary; Stocks on SaleU.S. stocks are 10% to 15% cheaper than in February, the economist noted.
April 22, 2025
DOGE Asks SEC Staff for Efficiency Ideas, Promises AnonymityThe regulator began its “partnership” with the Department of Government Efficiency a few weeks ago.
April 22, 2025
Paul Atkins Sworn in as SEC ChairAtkins must now contend with DOGE, market turbulence and a slimmed-down staff.