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.
Barred Broker Charged in Alleged $1.24M Ponzi Scheme
By Dinah Wisenberg BrinMarat Likhtenstein, who was fired from Osaic in 2024, now faces grand larceny charges.
March 24, 2025
$500B in Lost Tax Revenue? Unlikely, Cato Scholar SaysThe gap between taxes owed and taxes paid has remained stable over time, Chris Edwards says.
March 24, 2025
Tax Revenue on Track to Fall $500B in 2025: ReportAnonymous IRS officials told the Washington Post that they expect a 10% decline in tax receipts.
March 24, 2025
SEC to Lose About 500 Staffers to Buyout, Resignation OffersThe number may climb even higher as additional people accept the buyout ahead of Friday’s deadline.
March 21, 2025
Social Security to Resume Deferring Payments to Debt CollectionSSA will once again withhold payments in order to repay defaulted loans to government agencies.
March 21, 2025
Social Security Says DOGE Ruling Could Force Agency to Shut DownThe escalating fight between Trump and the courts could put 73 million Americans' benefits in the crossfire.
March 21, 2025
Is the MSRB Unconstitutional? — SEC RoundupThe American Securities Association has filed a petition challenging the constitutionality of the Municipal Securities Rulemaking Board.
March 21, 2025
Expect a Significant Shift Under a Paul Atkins SECThe next four years will present a host of new regulatory policies for advisors to understand and implement.