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.

DC Circuit Ruling Deals Blow to FINRA's Disciplinary Authority: SEC Roundup

December 20, 2024

DC Circuit Ruling Deals Blow to FINRA's Disciplinary Authority: SEC Roundup
The CMS 2026 Proposed Rule Could Shake Your World

December 20, 2024

The CMS 2026 Proposed Rule Could Shake Your World
Schwab Seeks to Block Former Advisor From Soliciting Clients

December 19, 2024

Schwab Seeks to Block Former Advisor From Soliciting Clients
IRS Pushes Back Deadlines in Proposed RMD Regs

December 18, 2024

IRS Pushes Back Deadlines in Proposed RMD Regs
FINRA Awards $4.8M to Baird in Raymond James Poaching Dispute

December 18, 2024

FINRA Awards $4.8M to Baird in Raymond James Poaching Dispute
A Top DOL Official Lays Out Her Year-End Priorities

December 16, 2024

A Top DOL Official Lays Out Her Year-End Priorities
Cantor Fitzgerald Pays SEC $6.75M for Alleged SPAC Abuses

December 13, 2024

Cantor Fitzgerald Pays SEC $6.75M for Alleged SPAC Abuses