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.
TaxStatus Unveils Financial Baseline Report Featuring Direct IRS Data
By John ManganaroThe product aims to help advisors make smarter decisions and streamline planning for better client outcomes.
February 24, 2025
Advisor Tried to Threaten Witnesses, Bribe Officials in His Fraud Case: DOJAdam Kaplan told an associate to leave one victim "peeing blood / missing teeth," prosecutors say.
February 24, 2025
Robinhood Says SEC Closed Crypto Probe Without Any EnforcementThe firm said last year it had received a Wells notice, indicating an action was coming.
February 21, 2025
Senators Press Acting Social Security Head on DOGE AccessThey raised concerns that Musk and Trump had made false fraud claims as a pretense for benefit cuts.
February 21, 2025
With Ban on Non-Competes in Limbo, Forfeiture Provisions Face Legal ScrutinyCourts and the Federal Trade Commission address limits that employers place on departing employees' options.
February 20, 2025
Judge Gives DOL 60 Days to Mull Fiduciary Rule AppealLabor must decide whether to continue the Biden administration's fight for the 2024 Retirement Security Rule.
February 20, 2025
Social Security Head Refutes Claim That Millions Over 100 Are Collecting BenefitsMany records do not contain a date of death, says Lee Dudek, the agency's acting commissioner.
February 20, 2025
IRS Plans to Lay Off Thousands: ReportWorkforce reductions could start any day now, according to The Associated Press.