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.
Altruist Adds Tax Planning Tools Within AI Platform Hazel
By John ManganaroJason Wenk, founder and CEO of Altruist, said Hazel's features redefine what tax planning means for advisors.
February 10, 2026
BofA Rep Fired for Expensing $6,000 in Meals Takes FINRA HitThe rep, suspended for nine months, charged BofA for food while working from home, FINRA states.
February 10, 2026
House Passes Bill That Could Help Annuity Issuers Fend Off FedA key financial stability council would have to listen to an insurer before changing its regulator.
February 09, 2026
$133M Award Against Stifel Should Stand, Judge SaysThe magistrate judge's opinion addresses a FINRA arbitration award tied to a barred advisor.
February 06, 2026
The Radical Force That Built Markets and Reshaped SocietyAuthor Sven Beckert tells ThinkAdvisor how capitalism evolved — and how New York's new Democratic Socialist mayor fits in.
February 06, 2026
Commonwealth, SEC Reach Tentative Settlement Over $93M PenaltyThe long-running case centers on revenue sharing payments.
February 05, 2026
Yes, Inherited Roth IRAs Have RMDs. Here's What to Know.Identifying the correct obligations will depend on the client's status and, perhaps, the elections made by a prior beneficiary.
February 05, 2026
Edelman Financial Engines Hit With Data BreachOn Jan. 7, an unauthorized third party accessed some of its clients' information, according to the Maine attorney general.