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.
Father-Son Lifetime Bar Suit Heats Up: SEC Roundup
By Nicolas Morgan and Tom ZaccaroFormer SEC attorneys representing the two talk about their groundbreaking lawsuit challenging SEC enforcement practices.
January 28, 2025
Sycamore Rolls Out New Surveillance PlatformAdvisory firms can use the technology to detect, monitor and review activities like transaction and commission data.
January 28, 2025
FINRA Issues New Warning on Reg BI, Form CRS ComplianceThe just-released 2025 FINRA Annual Regulatory Oversight report covers areas the regulator will be watching this year.
January 28, 2025
Bessent Wins Senate Confirmation to Be Treasury SecretaryThe former hedge fund manager won confirmation by a vote of 68 to 29 Monday.
January 28, 2025
FINRA Beefs Up Its RILA AdviceRegulators want representatives to think about a client's age when recommending transactions.
January 28, 2025
Expecting a Social Security Fairness Act Benefit Boost? Watch Out for Tax Traps.Bigger Social Security checks are an exciting prospect, but they could kick people into higher income brackets.
January 22, 2025
IRS' New Roth Catch-Up Contribution Guidance: The DetailsHere's what 401(k) advisors and employers should know about the long-awaited proposed regs.
January 21, 2025
SEC Launches Crypto Task ForceThe group will be led by Commissioner Hester Peirce, nicknamed “Crypto Mom” by the industry.