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.
Senate Panel to Vote Next Week on Lori Chavez-DeRemer as Labor Secretary
By Melanie WaddellThe Senate HELP Committee plans to hold a confirmation hearing on Feb. 12.
February 04, 2025
Apex Clearing to Pay $3.2M Over Securities Lending Program"Customers were exposed to risks but did not receive any of the borrowing fee," FINRA says.
February 03, 2025
Acting CFPB Head Bessent Pauses Rules and LitigationThe move comes after the Trump administration fired Rohit Chopra, who had actively fined several large banks.
February 03, 2025
Trump Signs Executive Action to Create Sovereign Wealth FundThe fund could be used to facilitate the sale of TikTok, which is still operating in the U.S.
February 03, 2025
DOGE Access to Social Security Payments Raises AlarmSen. Ron Wyden is fuming over news that Elon Musk's team has access to Treasury's payment systems.
February 03, 2025
Trump Tariffs Will Backfire: Greg ValliereTrump is overplaying his hand, "needlessly making enemies for life," says the AGF Investments policy strategist.
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.