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.
Acting CFPB Head Bessent Pauses Rules and Litigation
By Saleha Mohsin and Paige SmithThe move comes after the Trump administration fired Rohit Chopra, who had actively fined several large banks.
February 03, 2025
Trump Tariffs Will Backfire: Greg ValliereTrump is overplaying his hand, "needlessly making enemies for life," says the AGF Investments policy strategist.
January 31, 2025
Advisor Pleads Guilty to Taking $17M From Clients, Including His AuntScott Mason, former Rubicon Wealth Management president, could face up to 80 years in prison.
January 31, 2025
As Trump Tariffs Near, World Braces for Stock Market SpilloverStarting Saturday, Trump could put 25% tariffs on all imports from Canada and Mexico or phase in higher duties.
January 31, 2025
New Bill Would Revamp IRSThe legislation would make "common-sense fixes" to the agency, say Sens. Mike Crapo and Ron Wyden.
January 31, 2025
Investors Hit Fidelity With FINRA Claim Over Advisor Accused of Losing $11MFidelity missed red flags when an advisor made risky trades on its platform, according to an arbitration claim.
January 31, 2025
Father-Son Lifetime Bar Suit Heats Up: SEC RoundupFormer SEC attorneys representing the two talk about their groundbreaking lawsuit challenging SEC enforcement practices.
January 30, 2025
FINRA Fines, Suspends Another NY Broker Accused of CE CheatingThe broker is among dozens who've been disciplined over findings that someone else completed their continuing education requirements.