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.
Ed Slott: Brush Up on OBBBA and Trump Accounts — Now
By Melanie WaddellClients will ask about these developments, the tax expert says, as a way to "judge their advisor's competence."
June 30, 2026
SEC Mulls New ETF Rules as $16T Boom Disrupts Status QuoThe SEC is signaling a potential rethink of how it oversees ETFs after a wave prediction-market ETF filings.
June 30, 2026
New TaxStatus Tool Spots Planning Opportunities in Clients' IRS Records — Without AIThe offering plumbs tax forms to uncover life events like a job change or inheritance.
June 30, 2026
Trump Nominates Acting Secretary to Head DOLKeith Sonderling has been acting Labor secretary since Lori Chavez-DeRemer resigned in April.
June 29, 2026
Merrill to Pay $7.5M for Failing to File Suspicious Activity ReportsMerrill failed to investigate certain types of events under a BofA risk scoring system, the SEC said.
June 29, 2026
RIA Must Pay SEC $75K Over Custody Rule ViolationsNortheast Financial Group failed to conduct financial statement audits of private funds that the firm advised.
June 29, 2026
IRS Provides Gift Tax Relief for Trump AccountsTaxpayers had raised concerns that Trump account donations would trigger gift tax reporting rules.
June 29, 2026
Cook Stays at Fed, But Trump Wins More Power Over Other AgenciesThe Fed shield came even as the court, in a separate ruling, expanded the president's power to fire top government officials at other agencies.