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.
IRS Plans to Cut Thousands of Workers by Mail
By Ted MannThey came to work prepared for an email announcement. Due to a glitch, many never received it.
March 04, 2025
SEC May Close Offices in Philadelphia, Los AngelesThe moves are part of a General Services Administration plan to cut government office space and related costs.
March 04, 2025
Short Seller Challenges SEC on Free Speech: SEC RoundupAndrew Left and his attorney are seeking regulatory clarity on an issue with First Amendment implications.
March 04, 2025
Social Security Administration Targets $800M in Cost SavingsSavings thus far has been in payroll, information technology, contracts and grants, according to the acting SSA chief.
March 04, 2025
Citi Copy-Paste Error Almost Sent $6B to Wealth AccountThe error occurred in the same month that the bank accidentally credited $81 trillion to a different client.
March 03, 2025
SEC Dangles $50K Incentive for Employees to Resign or RetireThe voluntary separation incentive, or voluntary early retirement program, has a March 21 deadline.
March 03, 2025
Ex-Social Security Head Warns of 'System Collapse' as SSA Plans to Cut 7,000 JobsAn interruption of benefits is likely within the next 90 days, former Commissioner Martin O'Malley says.
March 03, 2025
LPL, Ex-Ameriprise Advisor Take a FINRA Hit in Recruiting BattleAn arbitration panel enjoined Douglas Kenoyer and said he wasn't entitled to Broker Protocol protections due to his conduct.