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 Delays Plan Allowing for Crypto Versions of U.S. Stocks
By Scott PattersonThere's concern about the trading of third-party tokens set to be issued without the consent of the public companies involved.
May 21, 2026
Why Clients Should Consider Roth Conversions When Stocks DropThey can get more bang for their tax buck — but they need to keep their full tax picture in mind.
May 21, 2026
Reg BI and New Product Best Practices: What BDs Should KnowTed Luecke, examination director at FINRA, offers tips on how BDs can stay compliant while bringing on new products.
May 21, 2026
SEC Commissioner Hester Peirce to ExitThe SEC's "Crypto Mom" will leave the agency in November to teach at Regent University.
May 20, 2026
IRS Starts to Implement a Long-Term Care Insurance Tax IncentiveThe new guidance will help employers remind employees that old age happens.
May 20, 2026
How to Surprise-Proof the Medicare SurchargeAdvisors can help clients manage premium shocks to their health insurance — without overpromising.
May 20, 2026
Citi Discloses Over 300 New York Layoffs, Part of Ongoing Job CutsThe banking giant has been moving to eliminate 20,000 positions over two years.
May 20, 2026
Black Edward Jones Advisors Are Set Up to Fail, Class-Action Suit AllegesWhite financial advisors receive better asset transfers and compensation, according to a suit by six former advisors.