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.
Digital Assets, Taxes, Regulatory Pause Top New Year Focus: SIFMA
By Melanie WaddellThe group will advocate for maintaining tax-exempt status for municipal securities, according to CEO Ken Bentsen.
January 21, 2025
Social Security Fairness Act Sets ‘Disturbing’ Precedent: CatoOne analyst believes the law sets a dangerous example when it comes to Social Security’s bigger solvency problems.
January 21, 2025
Trump Names Mark Uyeda as Acting SEC ChairmanRepublican Commissioner Mark Uyeda will serve as acting chairman until the Senate confirms Paul Atkins.
January 17, 2025
Advisor Accused of Stealing From Widowed Aunt Faces Fraud ChargesScott Mason misappropriated $20 million from 13 clients, according to the SEC.
January 17, 2025
Vanguard to Pay $106M to Settle Charges Over Misleading StatementsThe settlement is tied to tax bills some clients received after others switched to lower-cost funds.
January 17, 2025
Capital One Direct Deposit Problems Drag On Into Third DayCustomers continued to report account trouble Friday, with an outage monitoring site logging 4,000 reports.
January 17, 2025
SEC Fines LPL $18M for AML ViolationsLPL failed to close or restrict thousands of prohibited high-risk accounts, according to the SEC.
January 17, 2025
Wells Fargo, Merrill to Pay $60M Over Cash SweepsClients were pushed into bank sweeps that at times paid far less than other options, the SEC said.