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 Dangles $50K Incentive for Employees to Resign or Retire
By Nicola M. White and Lydia BeyoudThe voluntary separation incentive, or voluntary early retirement program, has a March 21 deadline.
February 28, 2025
Social Security Administration Plans 'Massive' RestructuringThe agency's acting commissioner warned employees to prepare for mass layoffs.
February 28, 2025
Social Security Contractors Cut Off as DOGE Targets AgencyThe acting chief says SSA has cut half of its outsourced IT spending and is dismissing 200 employees.
February 28, 2025
State Street, Apollo’s Private Credit ETF Raises SEC ConcernThe SEC asked the firms for more information in a letter Thursday, expressing worry on the fund’s liquidity.
February 28, 2025
SEC Staff Says Memecoins Are Like Collectibles, Not SecuritiesSellers do not need to register with the SEC, and buyers are not protected by securities laws.
February 28, 2025
Firm Hit With Reg BI Fine Over Private PlacementsFINRA fined Cova Capital Partners for recommending three private placements that weren't suitable for some investors.
February 27, 2025
Are Social Security’s Benefit Statements Useless for Accurate Planning?The simplified forms, released in 2021, are proving to have some serious shortcomings.
February 27, 2025
Senate Panel OKs Labor Secretary NomineeThe Senate HELP Committee voted 14-9 Thursday to approve the nomination of Lori Chavez-DeRemer.