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.
Goldman Sachs Taps Republican Fixer to Succeed Chief Lobbyist
By Todd GillespieGoldman Sachs Group Inc.’s chief global lobbyist, Michael Paese, is moving on after 16 years.
July 30, 2025
Are Annuity Buyers Gaming the System?Retirement researchers Michael Finke and David Blanchett find there are ways to maximize the value of state protections.
July 30, 2025
Social Security Seeks to Limit Phone Services — AgainThe proposed change would result in 3.4 million more people visiting field offices each year, the agency estimates.
July 29, 2025
Tax and Investing Pitfalls Greet Americans Who Move to Europe"Certain investing techniques don’t work here," France-based advisor Robert Levitt tells ThinkAdvisor.
July 29, 2025
In Rare Move, SEC Overturns a FINRA Bar Over Test-TakingAn SEC decision to reduce the rep's bar to a suspension is raising eyebrows.
July 29, 2025
Carson Group Says Ex-CMO Altered Evidence in LawsuitA lawyer for the former executive, Mary Kate Gulick, disputed the accusations.
July 28, 2025
Small-Business Owners Aren't Claiming 401(k) Startup Credits. What Gives?A new analysis shows only about 5.5% of “apparently eligible” firms claim the credit.
July 28, 2025
7 Ways Advisors Stand Out as ProfessionalsWith significant education, training and accountability, wealth managers are more than just salespeople.