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.
12 States to Sue Over DOGE Access to Payment System
By Melanie Waddell"This level of access for unauthorized individuals is unlawful, unprecedented, and unacceptable," the 12 attorneys general said.
February 05, 2025
Treasury Defense of DOGE in Payment System Raises SkepticismThe Treasury secretary's response "raises more questions than answers,” Sen. Elizabeth Warren says.
February 05, 2025
Senate Panel to Vote Next Week on Lori Chavez-DeRemer as Labor SecretaryThe Senate HELP Committee plans to hold a confirmation hearing on Feb. 12.
February 04, 2025
Robinhood Says CFTC Asked It to Halt Super Bowl WagersThe agency said it has “serious concerns” about firms offering access to contracts that may not be legally permissible.
February 04, 2025
RFK Jr. Clears Senate Committee, Heads to Full Vote to Lead HHSThe committee voted along party lines; 14 Republicans voted to support him, while 13 Democrats did not.
February 04, 2025
Apex Clearing to Pay $3.2M Over Securities Lending Program"Customers were exposed to risks but did not receive any of the borrowing fee," FINRA says.
February 03, 2025
Acting CFPB Head Bessent Pauses Rules and LitigationThe move comes after the Trump administration fired Rohit Chopra, who had actively fined several large banks.
February 03, 2025
Trump Signs Executive Action to Create Sovereign Wealth FundThe fund could be used to facilitate the sale of TikTok, which is still operating in the U.S.