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.
NASAA Votes to Restrict BDs' Use of 'Adviser,' 'Advisor'
By Melanie WaddellThe new model rule prohibits reps from using these titles unless they are also registered as advisors.
April 08, 2025
AARP Demands Answers on Social Security Website Outages, Call Hang-UpsThe site is "crashing repeatedly" as field offices are overwhelmed with worried seniors, the retiree group says.
April 07, 2025
Why the Best Tariff Trade Might Be a Roth ConversionClients with tech stocks in their IRAs have an interesting opportunity now, Carson Group’s Debra Taylor says.
April 03, 2025
Senate Approves Dr. Oz as Medicare Agency Head by 53-45 VoteThe former medical talk show host has suggested that the Medicare Advantage program needs to cut marketing costs.
April 03, 2025
How to Help Clients Prepare for a Possible Estate Tax Exemption SunsetAdvisors and clients should prepare for the possibility that lawmakers' effort to renew the 2017 threshold falls apart.
April 03, 2025
SEC Nominee Atkins Advanced by Senate Banking CommitteeIf confirmed by the Senate, Atkins is expected to rein in SEC enforcement and shape digital asset regulations.
April 02, 2025
Trump's Social Security Nominee Advances to Full SenateThe Senate Finance Committee voted 14-13 late Wednesday to advance Fiserv CEO Frank Bisignano's nomination.
April 02, 2025
SEC to Restructure Regional OfficesThe change impacts 10 locations and will become effective April 9.