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 Resumes 100% Benefit Clawbacks for Overpayments
By Melanie WaddellSocial Security advocates called the move, a reversal of a Biden-era policy, "petty, cruel and thoughtless."
March 06, 2025
Life and Annuity Products Pay for Themselves: InsurersAnnuities alone may provide about $100 billion in Social Security savings "pay fors," an industry policy analysis found.
March 06, 2025
Ex-Morgan Stanley Advisor Sentenced to 22 Months for Swindling Older ClientRonald Diaz, who pleaded guilty to wire fraud, must pay the victim's family over $867,000.
March 06, 2025
SEC’s Uyeda Expects Slowdown in Rulemaking After ‘Ambitious’ Biden EraThe agency has dropped or paused 10 cases against crypto firms and signaled it won't pursue regulation by enforcement.
March 06, 2025
Social Security Administration Corrects Missing Centenarian Death DatesThe effort is a waste of money and plays into claims of mass fraud, Social Security advocates say.
March 06, 2025
The IRS Dirty Dozen: Beware of These 12 Tax Scams in 2025From texting scams to fake tax credits, there's a lot for advisors and clients to watch out for.
March 06, 2025
Wealthy Tax Cheats Set to Benefit From Trump Plans to Halve IRSThe plan would leave the Internal Revenue Service with its smallest workforce since at least the 1960s.
March 05, 2025
Ex-Raymond James Rep Made Unauthorized Trades in Older Client's Account: FINRAThe rep was suspended for three months and ordered to pay $23,000 for making 71 unauthorized trades.