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.
New Bill Would Revamp IRS
By Melanie WaddellThe legislation would make "common-sense fixes" to the agency, say Sens. Mike Crapo and Ron Wyden.
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.
January 28, 2025
FINRA Beefs Up Its RILA AdviceRegulators want representatives to think about a client's age when recommending transactions.
January 28, 2025
Expecting a Social Security Fairness Act Benefit Boost? Watch Out for Tax Traps.Bigger Social Security checks are an exciting prospect, but they could kick people into higher income brackets.