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.
Trump Picks Mehmet Oz to Run Agency That Oversees Medicare
By Allison BellOz is a board-certified heart surgeon and former talk show host who ran for the Senate in 2022.
November 18, 2024
DOL Seeks More Data to Launch Retirement Savings Lost and Found DatabaseLabor wants to make the database live by Dec. 29.
November 18, 2024
GOP Senator Calls for Rulemaking Halt Until Trump Takes OfficeA flurry of activity at the SEC and other agencies is more likely, a compliance consultant says.
November 15, 2024
On Taxes and Retirement, Here's What Could Change in 2025Tax reform, new regulatory priorities and guidance under Secure 2.0 are some of what's ahead.
November 15, 2024
Trump Taps His Ex-SEC Chair Jay Clayton as U.S. Attorney for ManhattanThe role, often dubbed the Sheriff of Wall Street, is famous for tackling complex and high-profile cases.
November 14, 2024
Gensler Makes Final Pitch on SEC Crypto RulesThe Trump administration won’t share his view of the digital asset industry.
November 14, 2024
Debate: Should the SALT Deduction Cap Be Eliminated?The state and local tax deduction limit of $10,000 per federal return could expire after 2025.
November 14, 2024
FINRA Fines BBVA Securities for Failing to Monitor Annuity Exchange RatesThe broker-dealer did not have an adequate supervisory system in place, the regulator found.