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.
Why Retirement Trends Matter to the Fed's Call on Interest Rates
By John ManganaroMeasuring the pace and scale of retirement trends helps policymakers understand where the U.S. economy may be heading.
September 05, 2024
IRS Seeks Feedback on Saver's Match Under Secure 2.0The agency and the Treasury Department want comments on all aspects of the retirement account contributions.
September 05, 2024
Trump Vows 15% Corporate Tax, Taps Musk for Federal AuditBoth Trump and Harris are ramping up their economic messaging to court swing-state voters as well as business executives.
September 05, 2024
Here's How Big Social Security Cuts Could Be Without ReformsA research group has put a dollar amount on the expected reduction per couple if Congress doesn't act.
September 05, 2024
SEC Fines RIA for Custody Rule ViolationsClearPath failed to timely distribute annual audited financial statements to investors in certain private funds, the SEC said.
September 05, 2024
California DOJ Fines Robinhood $3.9M in First-Ever Crypto Enforcement ActionThe settlement marks the first public enforcement action by the state DOJ against a crypto company.
September 04, 2024
SEC Accuses Firm of Marketing Rule Violations, Failing to RegisterFlorida-based Black Dragon, which didn't admit wrongdoing, posted misleading performance data on its website, the agency says.
September 04, 2024
What Would Happen if a Big Insurer Failed?The effect of a major failure on state guaranty funds is not clear, according to a Fed economist.