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.
FINRA Bars Ex-LPL Rep Over Texting, Outside Business Activity
By Melanie WaddellDerek Lee Copeland participated in private securities transactions and exchanged over 2,250 business-related communications, FINRA found.
March 28, 2025
Social Security Is Not Giving Straight Answers on Field Office ClosuresThe agency's leader says it's not closing field offices, but a Social Security advocate calls that claim "deceptive."
March 28, 2025
'Naming and Shaming' Discourages Advisor Misconduct: StudyNew research found that firms with high misconduct rates cleaned up their acts after their names were published.
March 27, 2025
Debate: Do Consumers Benefit From Proposed ACA Changes?Enrollees would be required to provide additional information to prove that they are eligible for special enrollment periods.
March 27, 2025
Withdrawn DOL Guidance on ESOPs Still Offers Fair Value InsightPlan fiduciaries may wish to consider the proposed language related to purchases or sales of private company stock.
March 27, 2025
Social Security Partly Reverses New Phone Service LimitsAn in-person ID verification requirement won’t apply to disability insurance, Medicare and SSI applications.
March 27, 2025
FINRA Expels Firm After Chief Justice Denies Emergency ClaimThe expulsion of Alpine Securities, which is challenging FINRA's constitutionality, won't take effect unless the SEC upholds it.
March 27, 2025
Trump Pick for SEC Faces Sharp Conflict-of-Interest ScrutinyHe told lawmakers he'd work on “clear rules of the road” for Wall Street and digital-asset firms.