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.
Musk Accused by SEC of Cheating Twitter Investors Out of Millions
By Nicola M. White and Chris DolmetschThe billionaire cheated Twitter shareholders out of more than $150 million, the SEC alleges.
January 14, 2025
SEC Releases FAQ on Controversial Fund Names RuleThe updated guidance may help to resolve some questions raised by the amended rule, ICI says.
January 14, 2025
IRS Releases Roth Catch-Up GuidanceNewly proposed regulations answer some major questions created by Secure 2.0.
January 13, 2025
Robinhood to Pay $45M to Settle SEC ClaimsRobinhood "failed to observe a broad array of significant regulatory requirements," the SEC says.
January 13, 2025
Schwab, 11 Other Firms to Pay $63M in SEC Texting CrackdownEmployees used personal devices to communicate internally and externally by text messages, the SEC said.
January 10, 2025
Who Benefits Most From Extending Trump's Tax Cuts? Likely the Wealthy: TreasuryFamilies across the board would see lower taxes, but the largest cuts would go to the highest earners.
January 10, 2025
Social Security Has Problems, but It’s No Ponzi SchemeThe label is both inaccurate and misleading, according to Jason Fichtner, a former SSA official.
January 10, 2025
Ex-WWE CEO Vince McMahon to Settle SEC Case for $1.7MMcMahon hid hush-money settlements he negotiated, leading to incorrect financial statements, the SEC says.