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.
How to Help Clients Prepare for a Possible Estate Tax Exemption Sunset
By Robert Bloink and William H. ByrnesAdvisors and clients should prepare for the possibility that lawmakers' effort to renew the 2017 threshold falls apart.
April 02, 2025
SEC to Restructure Regional OfficesThe change impacts 10 locations and will become effective April 9.
April 02, 2025
Ex-Morgan Stanley Advisor Sentenced to 12 Years in Fraud SchemeJesus Rodriguez of El Paso, Texas, spent clients' money on himself, including a Lamborghini purchase, authorities found.
April 02, 2025
Commonwealth Wins Reversal of $93M SEC Revenue Sharing PenaltyA court last year found Commonwealth liable for failing to disclose a mutual fund revenue-sharing pact.
April 01, 2025
BD to Pay $150K Over Reg BI, Form CRS FailuresThurston Springer's written policies discussed Reg BI in general terms and did not include procedures for delivering Form CRS.
March 31, 2025
Most Americans Fear Scammers Will Steal Their Tax Returns in 2025Some victims wait nearly two years to recover stolen refunds, an Allstate survey finds.
March 31, 2025
How Staff Cuts and Office Shakeups Could Affect Social Security BeneficiariesThe number of field offices may not fall dramatically, experts say, but service strains are possible.
March 31, 2025
FINRA Bars Ex-LPL Rep Over Texting, Outside Business ActivityDerek Lee Copeland participated in private securities transactions and exchanged over 2,250 business-related communications, FINRA found.