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.
FINRA Panel Orders Stifel to Pay $7M to Breakaway Advisors
By Dinah Wisenberg BrinThe award came the same week that the regulator ordered it to pay $132 million in another case.
March 18, 2025
SEC to Speed Review of Funds With ETF Share ClassesThe SEC has received more than 50 applications for these products, collectively representing trillions in AUM.
March 18, 2025
Acting SEC Head Remakes Agency Even Before Trump Pick ConfirmedMark Uyeda's moves signal a policy U-turn that will be more dramatic than during the Trump’s first term.
March 18, 2025
Baird to Pay More Than $650K Over Unnecessary FeesBaird must reimburse customers and pay a $100,000 FINRA fine for violating Reg BI and other rules.
March 17, 2025
Trump's CMS Chief Nominee Sees a Possible Medicare Plan Broker GlutDr. Mehmet Oz told a Senate panel that multiyear Medicare Advantage coverage might help.
March 17, 2025
Wrongly Declared Dead: A Costly Social Security MistakeIt's rare, but the financial consequences for beneficiaries and their families can be steep.
March 14, 2025
FINRA Seeks Feedback on Remote Work, Branch Office RulesFINRA is undertaking a broad review of its rules and is looking for feedback by May 12.
March 14, 2025
Stifel to Pay $132M Over Structured NotesA family lost more than 65% of their investment due to the use of leverage, their lawyer says.