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.
13 New Tax Numbers to Know for 2027
By Melanie WaddellThe IRS announced Thursday the 2027 annual inflation adjustments, which include an increase in the estate tax exclusion.
November 04, 2026
Secure 3.0 Prospects Grow With Midterm Results: Jeff BushThe Washington Update analyst tells ThinkAdvisor what the Democratic sweep could mean for financial services legislation.
November 03, 2026
Ex-Advisor Pleads Guilty to Impersonating DOL EmployeeLazaven Mitchell, formerly of PFS Investments, presented himself to local businesses as someone working for Labor's retirement unit.
November 02, 2026
SEC Fines United Planners $600K Over Leveraged ETF Sales to ElderlyThe firm and Cary Urich, a former rep, caused 54 advisory clients to lose 70% of their investments.
November 02, 2026
FINRA Bars Ex-Stifel Rep Accused of Taking Jewelry From Co-Worker, ClientGinger Marie Redeker failed to produce documents in the broker-dealer self-regulator's investigation, an order states.
October 29, 2026
IRS Chief Donates to Trump AccountsFrank Bisignano, executive in charge of the savings tool, will contribute to children in his hometown of Brooklyn.
October 28, 2026
FINRA Bars Ex-Edward Jones Rep Accused of Improper Use of DiscretionAlexis Leon Aldaz failed to produce documents in the regulator's investigation.
October 28, 2026
Jeff Levine: Watch This New Tax Credit in 2027Focus Financial's planning chief also weighs in on underused year-end tax moves and why some advisors shouldn't do tax planning.