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.
Senate Confirms Chavez-DeRemer as Labor Secretary
By Melanie WaddellThe Senate voted 67-32 late Monday.
March 08, 2025
Robinhood to Pay $26M to Settle FINRA AllegationsThe regulator said Robinhood failed to supervise social media influencers paid to tout the firm.
March 07, 2025
SEC to Release New FAQs on Marketing RuleThe agency is looking at critical questions related to performance, says the SEC's investment management head.
March 06, 2025
Life and Annuity Products Pay for Themselves: InsurersAnnuities alone may provide about $100 billion in Social Security savings "pay fors," an industry policy analysis found.
March 06, 2025
Ex-Morgan Stanley Advisor Sentenced to 22 Months for Swindling Older ClientRonald Diaz, who pleaded guilty to wire fraud, must pay the victim's family over $867,000.
March 06, 2025
SEC’s Uyeda Expects Slowdown in Rulemaking After ‘Ambitious’ Biden EraThe agency has dropped or paused 10 cases against crypto firms and signaled it won't pursue regulation by enforcement.
March 06, 2025
Social Security Administration Corrects Missing Centenarian Death DatesThe effort is a waste of money and plays into claims of mass fraud, Social Security advocates say.
March 06, 2025
The IRS Dirty Dozen: Beware of These 12 Tax Scams in 2025From texting scams to fake tax credits, there's a lot for advisors and clients to watch out for.