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.
SEC Names New Investment Management Director
By Melanie WaddellBrian Daly, a partner at Akin Gump Strauss Hauer & Feld, will replace Natasha Greiner, who departs July 4.
June 12, 2025
New York Tax Preparer Charged in $50M Fraud SchemeMiles Burton Marshall, arrested Monday, allegedly stole from nearly 1,000 investors in a decades-long scam.
June 12, 2025
Ex-Schwab Financial Consultant Claims Age DiscriminationThe investment consultant also alleges he was forced to resign and given a negative mark on his Form U5.
June 12, 2025
7 Tax Developments to Watch ForThe outlook for 2026 and beyond remains uncertain as the tax bill debate rages on.
June 12, 2025
Treasury Weighs Rules That May End Colleges’ Tax Status Over Race PoliciesPrivate, nonprofit schools would no longer be tax exempt if they favor any racial groups in financial aid.
June 12, 2025
Vanguard Seeks SEC Approval to Expand Tax-Busting Fund DesignVanguard aims to use its signature dual-share class design with actively managed funds.
June 11, 2025
IRAs Could Soon Help Pay for Long-Term Care InsuranceLife insurers want the IRS to issue the regs they need to implement a Secure 2.0 provision.
June 11, 2025
Group Fears IRS Could Change the Time When Annuities Are TaxedThe Committee of Annuity Insurers has a bad feeling about an item on the agency's to-do list.