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.
Court Limits FINRA's Power to Expel Brokerages
By Sabrina WillmerThe SEC must weigh in before FINRA can cast out one of its members, according to a court of appeals.
November 21, 2024
SEC Chair Gensler to Step DownHis exit on Jan. 20 means the SEC could be led by either Hester Peirce or Mark Uyeda.
November 19, 2024
FINRA Fines CUNA Brokerage Services Over Deleted Rollover RecordsThe BD inadvertently deleted 14,000 records, violating Reg BI, FINRA says.
November 19, 2024
IRS to Drop Interest Rates in JanuaryFor individuals, the rate for overpayments and underpayments will be 7% per year, compounded daily.
November 18, 2024
DOL Seeks More Data to Launch Retirement Savings Lost and Found DatabaseLabor wants to make the database live by Dec. 29.
November 18, 2024
GOP Senator Calls for Rulemaking Halt Until Trump Takes OfficeA flurry of activity at the SEC and other agencies is more likely, a compliance consultant says.
November 15, 2024
On Taxes and Retirement, Here's What Could Change in 2025Tax reform, new regulatory priorities and guidance under Secure 2.0 are some of what's ahead.
November 15, 2024
Trump Taps His Ex-SEC Chair Jay Clayton as U.S. Attorney for ManhattanThe role, often dubbed the Sheriff of Wall Street, is famous for tackling complex and high-profile cases.