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.
House Passes 2 SEC Bills
By Melanie WaddellUnder the bills, the SEC would create a senior investor task force and update its small business definition.
July 22, 2025
The 5 Hottest Compliance Topics of 2025While there's a new SEC chief, agency staff urges RIAs to "keep your foot on the compliance pedal."
July 22, 2025
DOL Retirement Oversight Nominee Lists InvestmentsDaniel Aronowitz has stocks, bonds, crypto, family trusts and $19 million coming from a Hub affiliate.
July 21, 2025
Annuity Issuers Ask SEC to Ease RILA Advertising RegsThe Committee of Annuity Insurers says there is still life and annuity red tape left to cut.
July 21, 2025
IRS Weighs In on Uncashed 401(k) ChecksRevenue ruling 2025-15 "is relevant mainly in situations involving missing participants or lost benefits," says Mark Iwry.
July 21, 2025
Treasury Delays AML Rule for Advisors to Conduct 'Broad Review'FinCEN also intends to revisit the proposed customer identification requirements for advisors.
July 18, 2025
Social Security Fast-Tracked Fairness Act Payments. But at What Cost?A recent announcement by the SSA that it had boosted its service efficiency is drawing skepticism.
July 18, 2025
FACC to Appeal Court Decision on DOL Rollover RuleJudge Kinkeade’s decision "is right in some respects and wrong in others," the group said.