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.
Musk’s DOGE Staffers Arrive at SEC to Hunt for Spending Cuts
By Nicola M. White and Lydia BeyoudSEC staff were instructed to treat Musk advisors as internal employees, according to an email.
March 27, 2025
Debate: Do Consumers Benefit From Proposed ACA Changes?Enrollees would be required to provide additional information to prove that they are eligible for special enrollment periods.
March 27, 2025
Withdrawn DOL Guidance on ESOPs Still Offers Fair Value InsightPlan fiduciaries may wish to consider the proposed language related to purchases or sales of private company stock.
March 27, 2025
Social Security Partly Reverses New Phone Service LimitsAn in-person ID verification requirement won’t apply to disability insurance, Medicare and SSI applications.
March 27, 2025
FINRA Orders Firm Expelled After Chief Justice Denies Emergency ClaimThe expulsion of Alpine Securities, which is challenging FINRA's constitutionality, won't take effect unless the SEC upholds it.
March 27, 2025
Trump Pick for SEC Faces Sharp Conflict-of-Interest ScrutinyHe told lawmakers he'd work on “clear rules of the road” for Wall Street and digital-asset firms.
March 25, 2025
Barred Broker Charged in Alleged $1.24M Ponzi SchemeMarat Likhtenstein, who was fired from Osaic in 2024, now faces grand larceny charges.
March 25, 2025
Senators Praise and Press Social Security NomineePartisan divisions about the future of the program were on full display in the hearing with Frank Bisignano.