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.
Trump's 401(k) Order: What Advisors Should Know
By Melanie WaddellThe executive order encourages participants in 401(k)s to invest in alternative assets; advisors say tread carefully.
August 07, 2025
Ex-CNBC Guest Analyst Sentenced to 5 Years for Investment ScamFormer fugitive James Arthur McDonald had pleaded guilty to securities fraud.
August 06, 2025
Sen. Warren Presses SEC Chair on Consulting Firm SalePaul Atkins led Patomak Global Partners as founder and CEO, which included clients regulated by the SEC.
August 06, 2025
Ex-Merrill Broker Faces Disciplinary Process Tied to Trading, Sales PracticesAli Chehab wouldn't provide documents, FINRA alleges, and told staff: "I do not care if I get barred."
August 06, 2025
For Annuities, Stable Rules May Beat Fewer Rules, Issuers Tell DOLInsurers warned that killing old regulations that are still in use could cause big problems.
August 05, 2025
Fidelity Brokerage Says Former VP Took Client InfoAdam Ritter is misusing confidential information to solicit customers to his new firm, a lawsuit alleges.
August 05, 2025
Debate: Should 401(k) Catch-Up Contributions Be Roth-Only for High-Income Taxpayers?Under Secure 2.0, it's an all-or-nothing question for employers starting in 2026.
August 05, 2025
Jeremy Siegel: Stocks Not in Bubble TerritoryThe economist expects 0.75% in Fed rate cuts by year-end.