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.
Roth IRAs for Kids: A Planning Opportunity for the Family
By Robert Bloink and William H. ByrnesThe benefits of these accounts for minors are often overlooked, given that they are typically retirement income vehicles.
July 13, 2026
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A New Custody Rule Is on the SEC's Agenda. Here's What to Know.The agency plans to issue a proposed rule that would address questions raised by advisors about holding crypto.
July 13, 2026
New Bill Eliminates SALT Cap Marriage PenaltyThe legislation would double the deduction cap on state and local taxes for couples filing jointly.
July 10, 2026
Advisors, Take Note: SEC Rule Revamps Are on the WayThe agency's just-released Reg Flex agenda for 2026 includes several hot-button issues for advisors.
July 09, 2026
IRS Rolls Out Automatic First-Time Penalty ReliefTaxpayers qualify if they have filed and paid on time for the past three years.
July 09, 2026
AI Raises Cybersecurity Stakes for Wealth ManagersThe technologies introduce an evolving set of risks that firms must manage at a pace that matches rapid adoption.
July 09, 2026
How Solo 401(k)s Can Benefit Self-Employed WorkersSignificant opportunity exists for advisors to introduce small-business owners and other entrepreneurs to the savings option.
July 09, 2026
Former Northern Trust VP at Center of $35M Elder Fraud Suit Pleads Not GuiltyChristopher Walters, accused by Elizabeth Madden (pictured) of raiding a $20 million legacy trust, now faces criminal charges.