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.

Raymond James Nears $50M SEC Settlement Over Texting Issues

August 12, 2024

Raymond James Nears $50M SEC Settlement Over Texting Issues
IRS Provides Tax Relief to Hurricane Debby Victims in 4 States

August 09, 2024

IRS Provides Tax Relief to Hurricane Debby Victims in 4 States
SEC, Exchanges Should Probe Monday's VIX Surge: Summers

August 09, 2024

SEC, Exchanges Should Probe Monday's VIX Surge: Summers
EHealth CEO to Medicare Advantage: Extend the Enrollment Period Now

August 09, 2024

EHealth CEO to Medicare Advantage: Extend the Enrollment Period Now
SEC Hits RIA With $430K Marketing Rule Fine

August 09, 2024

SEC Hits RIA With $430K Marketing Rule Fine
Supreme Court Ruling, Criminal Trial Shake Up Insider Trading: SEC Roundup

August 09, 2024

Supreme Court Ruling, Criminal Trial Shake Up Insider Trading: SEC Roundup
Debate: Were Texas Courts Right to Pause DOL Fiduciary Standard?

August 08, 2024

Debate: Were Texas Courts Right to Pause DOL Fiduciary Standard?