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.
The CMS 2026 Proposed Rule Could Shake Your World
By Lloyd LoftonIf you help clients with Medicare plans, life could soon become more complicated.
December 18, 2024
FINRA Awards $4.8M to Baird in Raymond James Poaching DisputeThe payments represent only a fraction of the $74 million in damages sought by the wealth management firm.
December 16, 2024
A Top DOL Official Lays Out Her Year-End PrioritiesThe department is on the cusp of launching a key retirement tool, EBSA head Lisa Gomez tells ThinkAdvisor.
December 13, 2024
Cantor Fitzgerald Pays SEC $6.75M for Alleged SPAC AbusesThe firm, led by Howard Lutnick, misled investors in two blank-check firms, the regulator says.
December 13, 2024
Senators Delay Crenshaw Vote, Increasing Odds of All-GOP SECThe commissioner dissented to spot bitcoin ETF approval and supports stricter climate-related disclosure rules.
December 11, 2024
SEC Rule Predictions: What's In, What's Out in 2025Attorneys expect a slowdown or halt on texting fines and a potential Custody Rule revamp, among other changes.
December 11, 2024
Expect Dramatic Enforcement Changes in 2025: SEC RoundupLegal experts discuss their views on how 2025 might shape up.
December 10, 2024
Trump Will Have a Big Impact on Client PortfoliosYes, the next four years will be very different from the past four.