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.
On Taxes and Retirement, Here's What Could Change in 2025
By Melanie WaddellTax reform, new regulatory priorities and guidance under Secure 2.0 are some of what's ahead.
November 14, 2024
Debate: Should the SALT Deduction Cap Be Eliminated?The state and local tax deduction limit of $10,000 per federal return could expire after 2025.
November 14, 2024
FINRA Fines BBVA Securities for Failing to Monitor Annuity Exchange RatesThe broker-dealer did not have an adequate supervisory system in place, the regulator found.
November 13, 2024
No More Waivers: IRA Beneficiaries Must Take RMDs in 2025The IRS has been clear that additional taxpayer relief will not be forthcoming around these distributions.
November 13, 2024
FINRA Files to Raise Fees Starting in 2025The median large firm would pay an extra $415,000 a year by 2029.
November 12, 2024
FINRA Fines Firm $30K for Form CRS FailuresG.research failed to disclose its own and its control affiliates' disciplinary history on Form CRS.
November 11, 2024
Who Might Succeed Gensler as SEC ChairRichard Farley of Kramer Levin Naftalis & Frankel and Norm Champ of Kirkland & Ellis are among the contenders.
November 08, 2024
Osaic Failed to Supervise Trading in Dead Client's Account: FINRAThe broker-dealer, earlier known as SagePoint, was fined $250,000 for issues with this matter and another account.