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.
SEC Sanctions Hit New High at $8.2B in 2024
By Melanie WaddellMarketing Rule violations resulted in settled charges against more than a dozen advisors.
November 22, 2024
Court Limits FINRA's Power to Expel BrokeragesThe SEC must weigh in before FINRA can cast out one of its members, according to a court of appeals.
November 22, 2024
Expect Secure 3.0 and a Major Tax Bill Next YearTax cuts will likely be fast-tracked in 2025 as Secure 3.0 takes shape, a former DOL official says.
November 21, 2024
Quarter of SEC Actions Dealt With Off-Channel Communications in 2024: ReportThe total number of enforcement actions dropped 12% from fiscal 2023, a new study finds.
November 21, 2024
SEC Chair Gensler to Step DownHis exit on Jan. 20 means the SEC could be led by either Hester Peirce or Mark Uyeda.
November 19, 2024
FINRA Fines CUNA Brokerage Services Over Deleted Rollover RecordsThe BD inadvertently deleted 14,000 records, violating Reg BI, FINRA says.
November 19, 2024
IRS to Drop Interest Rates in JanuaryFor individuals, the rate for overpayments and underpayments will be 7% per year, compounded daily.
November 18, 2024
DOL Seeks More Data to Launch Retirement Savings Lost and Found DatabaseLabor wants to make the database live by Dec. 29.