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.
What Clients Should Know About Buying a Second Home
By Roger WohlnerWhether they're looking for a residence or an investment, there are financing, tax and estate planning issues to consider.
March 23, 2026
10 Client Statements That Should Trigger Alarm BellsNot everyone you meet in HNW circles is squeaky clean.
March 23, 2026
Commonwealth Agrees to Pay $5M to SEC After $93M Judgment TossedThe settlement would resolve a long-running battle over disclosure of a mutual fund revenue-sharing program.
March 23, 2026
Expect an E-Delivery Rule Soon: SEC ChairSuch a rule is "long overdue," Paul Atkins said Monday.
March 20, 2026
Advisors in SEC Enforcement CrosshairsFiduciary duty breaches are a "core" focus for the agency, according to the acting director of enforcement.
March 20, 2026
Ex-Advisor, Radio Host Could Face Lengthy Prison Term for FraudBrooklynn Chandler Willy of Texas just pleaded guilty to six wire fraud and four related charges in a Ponzi scheme.
March 19, 2026
Debate: Should Medical Expenses Be Exempt From Itemized Deduction Limits?Legislation in 2025 created a cap on itemized deductions that will largely affect high-income clients.
March 19, 2026
Elect the Roth Employer Match? Watch for This Tax FormThis 401(k) contribution choice will trigger reporting and tax obligations that may be unfamiliar.