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.
Reject an Inheritance? Not Always a Bad Idea
By John ManganaroPlanning professionals often focus on how to best leave assets, but inheriting them can be less straightforward.
June 06, 2025
FINRA to Raise Gift Limit to $250FINRA has filed with the SEC to increase the gift limit from $100 per person per year.
June 06, 2025
DOL Retirement Unit Needs 'Major Turnaround,' Nominee SaysDaniel Aronowitz told senators he'd "strive to provide regulatory clarity" to Labor's fiduciary rule "as applied to IRA rollovers."
June 05, 2025
Accredited Investor Qualification Bill ReemergesThe bill would update the list of certifications that would give an investor wider access to private investments.
June 05, 2025
FINRA Panel Awards $1M to Advisor Over UBS TerminationUBS said it will consider its options after the split arbitration decision.
June 05, 2025
This Simple Mistake Turns an Inherited IRA Into a Tax BombBeneficiaries often overlook one step, inadvertently causing the entire account balance to become currently taxable.
June 05, 2025
FINRA Panel Orders Advisor to Pay Ameriprise $383KAmeriprise accused the advisor of a "brazen scheme" to take account information to his new RIA.
June 04, 2025
Kellyanne Conway Talks Trump Tariffs"I don’t know why anybody’s surprised that he went ahead with tariffs," the former Trump advisor said Wednesday.