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.
SEC Head Vows to Fast-Track Plan to End Quarterly Reports
By Jenny SuranePaul Atkins says Trump's proposal will give companies the option to report on a semi-annual basis.
September 26, 2025
FINRA to Send Revised Outside Business Activity Plan to SECIndustry officials are bracing to see if the proposal includes changes to supervisory requirements for outside RIA activity.
September 26, 2025
Draft Guidance Could Boost Best-Interest ComplianceIndustry groups hope to keep state regulators from adding new ways to monitor firms and people.
September 26, 2025
Guardrails Needed on Alts in 401(k)s: SEC Chief AtkinsThe SEC and Labor Department have "to work hand and glove" to lay ground rules, Atkins said Thursday.
September 25, 2025
Medicare Could Tie Commission Growth to Overall Inflation RateThat's one of the suggestions in an Urban Institute report on the role of Medicare plans' agents and brokers.
September 25, 2025
SSA Chief's Retirement-Age Comments Reveal an Alarming Truth: Retirement ExpertFrank Bisignano's responses reveal that no plan to fix the program is coming anytime soon, says a retirement researcher.
September 25, 2025
Treasury's Crime Unit Delays AML Rule for AdvisorsFinCEN’s delay of the rule's effective date provides relief, but "substantive changes are still on the table," attorneys say.
September 24, 2025
Merrill Sues Schwab, Dynasty Over Mega-Team's Defection, Alleging Corporate RaidScores of Merrill advisors and other staff left an Atlanta office managing $129 billion for Dynasty-backed OpenArc.