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.
January 31, 2025
Advisor Pleads Guilty to Taking $17M From Clients, Including His AuntScott Mason, former Rubicon Wealth Management president, could face up to 80 years in prison.
January 31, 2025
As Trump Tariffs Near, World Braces for Stock Market SpilloverStarting Saturday, Trump could put 25% tariffs on all imports from Canada and Mexico or phase in higher duties.
January 31, 2025
New Bill Would Revamp IRSThe legislation would make "common-sense fixes" to the agency, say Sens. Mike Crapo and Ron Wyden.
January 31, 2025
Investors Hit Fidelity With FINRA Claim Over Advisor Accused of Losing $11MFidelity missed red flags when an advisor made risky trades on its platform, according to an arbitration claim.
January 31, 2025
Father-Son Lifetime Bar Suit Heats Up: SEC RoundupFormer SEC attorneys representing the two talk about their groundbreaking lawsuit challenging SEC enforcement practices.
January 30, 2025
FINRA Fines, Suspends Another NY Broker Accused of CE CheatingThe broker is among dozens who've been disciplined over findings that someone else completed their continuing education requirements.
January 29, 2025
How Everyday Americans Would Fix Social SecurityA new survey explores Americans’ preferred approach to addressing the insurance program's financing gap.
January 28, 2025
Sycamore Rolls Out New Surveillance PlatformAdvisory firms can use the technology to detect, monitor and review activities like transaction and commission data.
January 28, 2025
FINRA Issues New Warning on Reg BI, Form CRS ComplianceThe just-released 2025 FINRA Annual Regulatory Oversight report covers areas the regulator will be watching this year.
January 28, 2025
Bessent Wins Senate Confirmation to Be Treasury SecretaryThe former hedge fund manager won confirmation by a vote of 68 to 29 Monday.