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.
Ray of Hope Emerges for 'Forever Bars': SEC Roundup
By Nicolas Morgan and Tom ZaccaroIn four separate cases, the SEC has granted applications filed by barred professionals seeking to resume working.
April 24, 2025
Jury Finds Massachusetts Advisor Failed to Disclose Annuity Conflicts to RetireesThe verdict holds Jeffrey Cutter and his firm accountable for breaching fiduciary duties to clients, the SEC said.
April 22, 2025
Ryan Detrick: 3 Good Signs Amid Market TurmoilWhile risks are running high, the "monster under the bed" is likely not real, the Carson strategist says.
April 22, 2025
Jeremy Siegel: Tariffs Likely Temporary; Stocks on SaleU.S. stocks are 10% to 15% cheaper than in February, the economist noted.
April 22, 2025
DOGE Asks SEC Staff for Efficiency Ideas, Promises AnonymityThe regulator began its “partnership” with the Department of Government Efficiency a few weeks ago.
April 22, 2025
Paul Atkins Sworn in as SEC ChairAtkins must now contend with DOGE, market turbulence and a slimmed-down staff.
April 21, 2025
Bob Doll: Investors Losing Trust in Trump"Individuals and businesses came into 2025 with misplaced optimism in the president's plans," he says.
April 18, 2025
SEC Pushes Back on DOGE Access to Some Agency DataEliezer Mishory, who's leading the DOGE team at the SEC, requested staff emails, personnel data and contracts.