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.
Texting Still in Regulators' Crosshairs
By Melanie WaddellIf regulators find violative conduct related to off-channel communications, they will bring actions, Eversheds attorneys say.
August 13, 2025
Wells Fargo Hit With $275K FINRA FineWells Fargo Clearing failed to establish and maintain a supervisory system related to municipal advisory activity.
August 13, 2025
Rep Suspended for Execessive Trades in Senior Clients' Accounts, Violating Reg BIThe Spartan Capital rep made the trades in the accounts of two 66-year-old clients, leading to significant losses.
August 12, 2025
Schwab Faces Cash Sweeps Suit Alleging Elder Financial AbuseThe complaint is among many accusing firms of paying unreasonably low interest on cash sweep balances.
August 12, 2025
SEC’s Peirce Says Market Will Sort Out Winners in TokenizationBut some groups have recently called for a cautious and deliberate approach on tokenization.
August 12, 2025
Social Security 2026 COLA Estimate Rises to 2.7%The cost-of-living adjustment has risen for six months in a row, with headlines pointing to growing pressure from tariffs.
August 12, 2025
Trump Names Heritage’s Antoni to Lead BLSThe chief economist of the conservative foundation wants a “top to bottom” review of the Bureau of Labor Statistics.
August 11, 2025
Trump Removes IRS CommissionerPresident Donald Trump removed former congressman Billy Long as IRS commissioner after less than two months on the job.