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.
Wells Fargo’s Asset Cap Lifted by Fed
By Yizhu WangThe cap, an unprecedented punishment for years of scandals, has restricted the firm's size since 2018.
May 30, 2025
RIA Growth Could Stall in 2025: ReportWhile the number of SEC-registered advisors grew in 2024, economic and other factors could shift that trend.
May 29, 2025
BD Hit With Reg BI Fine Over Annuity ExchangesAAG Capital recommended swapping life insurance policies, fixed indexed annuities and VAs for more costly RILAs.
May 28, 2025
Ex-Marine Conned Fellow Veterans in Ponzi Scheme, SEC SaysChristopher Aubin is accused of defrauding 24 investors, including two veterans he served with, out of $2.5 million.
May 28, 2025
Rush to Launch Vanguard-Style Funds Draws WarningsAdding ETF share classes to mutual funds could mean taxable gains get passed on to ETF investors.
May 27, 2025
'Disrupters Get Disrupted': Smart Beta Pioneer Has a Warning for AI Investors"AI is the real deal, but that doesn’t mean it’s not a bubble," Rob Arnott of Research Affiliates says.
May 27, 2025
Taxes Due June 16 for Taxpayers Living AbroadThe deadline applies to both U.S. citizens and resident aliens, including those with dual citizenship.
May 27, 2025
This Obscure White House Office Helps Shape Tax RegulationsThe Office of Information and Regulatory Affairs estimates how government policies might affect you and your clients.