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.
Treasury Names Advisor to Help Plan U.S. Sovereign Wealth Fund
By Daniel FlatleyJR Gibbens will join the Treasury from the Pentagon, the Treasury Department said in a statement Wednesday.
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.
February 21, 2025
With Ban on Non-Competes in Limbo, Forfeiture Provisions Face Legal ScrutinyCourts and the Federal Trade Commission address limits that employers place on departing employees' options.