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.

9 Key Tax Considerations for Newlyweds

June 27, 2025

9 Key Tax Considerations for Newlyweds
SEC Denies Requests to Alter More Texting Settlements

June 27, 2025

SEC Denies Requests to Alter More Texting Settlements
Debate: Should the Tax Bill Increase the Business Income Deduction?

June 26, 2025

Debate: Should the Tax Bill Increase the Business Income Deduction?
Wisconsin 'Advisor' Bought 300 Snowmobiles With Client Money: Prosecutors

June 26, 2025

Wisconsin 'Advisor' Bought 300 Snowmobiles With Client Money: Prosecutors
FINRA Sanctions Clearing Firm Exec for Sending Thousands of WeChat Messages

June 26, 2025

FINRA Sanctions Clearing Firm Exec for Sending Thousands of WeChat Messages
SEC Kicks Off Review of Rules Governing Executive Pay and Perks

June 26, 2025

SEC Kicks Off Review of Rules Governing Executive Pay and Perks
Ex-Advisor Gets 8 Years for Bilking Clients, Widowed Aunt

June 25, 2025

Ex-Advisor Gets 8 Years for Bilking Clients, Widowed Aunt