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.
October 21, 2025
Senate Passes Bill to Help Taxpayers Fix ErrorsThe IRS MATH Act would simplify notices informing taxpayers of mistakes on their tax filings.
October 21, 2025
SEC Chief: Texting Crackdown Went Too FarThe agency's handling of off-channel communications was "not the way a regulator should act," Paul Atkins said.
October 20, 2025
6 Must-Know Tips for Compliant TextingTexting is still in regulators' crosshairs, so firms and advisors need to follow the rules.
October 17, 2025
State Regulators See Rise in Tech-Related SchemesInvestment frauds connected to social media use have been identified as "significant dangers" in an enforcement report.
October 17, 2025
FINRA Bars Ex-Edward Jones Rep Fired Over Outside InvestmentsThe rep failed disclose documents to FINRA related to the investments, which included purported crypto mining companies.
October 16, 2025
A New Plan to Shore Up Social Security: Employer Compensation TaxThe funding solution would be imposed on each employer’s total compensation costs rather than each worker’s pay.
October 15, 2025
Even a Shutdown Can’t Stop the Social Security COLAMartha Shedden, who heads an advocacy organization, sees encouraging signs in an otherwise worrying political situation.