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.
Stifel to Pay $132M Over Structured Notes
By Melanie WaddellA family lost more than 65% of their investment due to the use of leverage, their lawyer says.
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.
March 13, 2025
DOGE Has 10 Staffers at Social Security in Hunt for Dead PeopleElon Musk has called Social Security a “Ponzi scheme,” while critics say he is preparing to make cuts.
March 11, 2025
Senate Confirms Chavez-DeRemer as Labor SecretaryThe Senate voted 67-32 late Monday.
March 10, 2025
Former Republican Social Security Chiefs Deride Musk's ActionsWhile they appreciate the interest in efficiency, Andrew Biggs and Jason Fichtner fear beneficiaries will suffer.
March 10, 2025
Social Security Resumes 100% Benefit Clawbacks for OverpaymentsSocial Security advocates called the move, a reversal of a Biden-era policy, "petty, cruel and thoughtless."
March 08, 2025
Robinhood to Pay $26M to Settle FINRA AllegationsThe regulator said Robinhood failed to supervise social media influencers paid to tout the firm.