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 Administration May Face 50% Workforce Cut
By Melanie WaddellThe acting SSA chief requested that managers present a plan for a 50% staff reduction, The American Prospect reports.
February 25, 2025
Social Security Administration Closes Offices, Realigns FunctionsThe agency closed its Office of Civil Rights and Equal Opportunity and its Office of Transformation.
February 25, 2025
TaxStatus Unveils Financial Baseline Report Featuring Direct IRS DataThe product aims to help advisors make smarter decisions and streamline planning for better client outcomes.
February 25, 2025
CFP Board Publishes AI Ethics Guide for AdvisorsThe document helps CFP professionals apply artificial intelligence tools while adhering to the organization’s code and standards.
February 25, 2025
SEC to Remove Regional Directors: ReportThe SEC told directors across its 10 regional offices that their roles will be eliminated, Reuters says.
February 24, 2025
Advisor Tried to Threaten Witnesses, Bribe Officials in His Fraud Case: DOJAdam Kaplan told an associate to leave one victim "peeing blood / missing teeth," prosecutors say.
February 24, 2025
Robinhood Says SEC Closed Crypto Probe Without Any EnforcementThe firm said last year it had received a Wells notice, indicating an action was coming.
February 21, 2025
Senators Press Acting Social Security Head on DOGE AccessThey raised concerns that Musk and Trump had made false fraud claims as a pretense for benefit cuts.