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.
SEC Chair Nominee, Spouse Worth at Least $327M
By Lydia Beyoud and Nicola M. White and Bill AllisonIf confirmed, Paul Atkins could become the wealthiest SEC chair in recent decades.
March 24, 2025
SEC to Lose About 500 Staffers to Buyout, Resignation OffersThe number may climb even higher as additional people accept the buyout ahead of Friday’s deadline.
March 21, 2025
Social Security to Resume Deferring Payments to Debt CollectionSSA will once again withhold payments in order to repay defaulted loans to government agencies.
March 21, 2025
Social Security Says DOGE Ruling Could Force Agency to Shut DownThe escalating fight between Trump and the courts could put 73 million Americans' benefits in the crossfire.
March 21, 2025
Is the MSRB Unconstitutional? — SEC RoundupThe American Securities Association has filed a petition challenging the constitutionality of the Municipal Securities Rulemaking Board.
March 21, 2025
Expect a Significant Shift Under a Paul Atkins SECThe next four years will present a host of new regulatory policies for advisors to understand and implement.
March 20, 2025
Cambridge to Pay $15M Over Revenue Sharing, Wrap Account ConflictsThe firm will pay $10 million in disgorgement, $3 million in interest and a $1.8 million SEC fine.
March 20, 2025
SEC Releases New Marketing Rule FAQs on PerformanceThe updated guidance answers questions on advertising extracted performance and portfolio characteristics like Sharpe ratios and yields.