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 Seeks Feedback on Remote Work, Branch Office Rules
By Melanie WaddellFINRA is undertaking a broad review of its rules and is looking for feedback by May 12.
March 13, 2025
8 Overlooked Tax Deductions and CreditsThese breaks can go a long way toward helping clients reduce their tax liability as much as possible.
March 13, 2025
FINRA’s Top 5 Fine Categories: 2024The $59 million in assessed penalties was down 35% from 2023, according to an analysis by Eversheds Sutherland.
March 13, 2025
'It's Going to Get Worse': Former Social Security Chief Calls for Acting Head to Resign“This is not going well," and a backlash is coming, former SSA Commissioner Michael Astrue says.
March 13, 2025
DOGE Has 10 Staffers at Social Security in Hunt for Dead PeopleElon Musk has called Social Security a “Ponzi scheme,” while critics say he is preparing to make cuts.
March 11, 2025
Senate Confirms Chavez-DeRemer as Labor SecretaryThe Senate voted 67-32 late Monday.
March 10, 2025
Former Republican Social Security Chiefs Deride Musk's ActionsWhile they appreciate the interest in efficiency, Andrew Biggs and Jason Fichtner fear beneficiaries will suffer.
March 10, 2025
Social Security Resumes 100% Benefit Clawbacks for OverpaymentsSocial Security advocates called the move, a reversal of a Biden-era policy, "petty, cruel and thoughtless."