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 Fines One Oak Capital, Rep Over Account Conversions
By Melanie WaddellThe firm failed to disclose that conversions from brokerage to advisory accounts would result in higher fees.
February 18, 2025
Acting Social Security Commissioner Steps Down After DOGE ClashMichelle King resigned after refusing to hand over private Social Security data, according to news reports.
February 14, 2025
Morgan Stanley Ordered to Pay $843,000 to Senior Scam VictimA FINRA arbitration panel found the company liable for failing to protect the 76-year-old widow.
February 14, 2025
Ed Slott: Roth Conversion Changes in Trump Tax-Cut Law Are Here to StayThe 2017 tax changes may have an expiration date, but the Roth recharacterization limits do not.
February 13, 2025
End Taxes on Social Security? Popular, Yes, With One Big DownsideA bill revived in Congress would enact President Donald Trump’s campaign pledge to cut Social Security taxes.
February 13, 2025
Advisor in Smoothie Shop Incident Is Fined and Suspended Over Cash TransactionsJames Iannazzo arranged withdrawals and deposits totaling $845,890 to evade reporting requirements, a FINRA panel found.
February 13, 2025
Senate Confirms Robert F. Kennedy Jr. as Health SecretaryThe nomination of Dr. Mehmet Oz for head of the Medicare agency is still in the pipeline.
February 12, 2025
DOL Hits Pause on Fiduciary Rule AppealDOL has filed to pause its consolidated appeals of two district courts' universal stays of Labor's 2024 fiduciary rule.