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.
FAQ: How to Plan for Inherited IRAs
By Roger WohlnerThe accounts have undergone significant changes in recent years in large part due to the Secure Act.
December 19, 2025
Expect Targeted AI Exams, Retail Fraud Crackdown in 2026The SEC's privacy and marketing rules along with continued revamps of FINRA rules are priorities for next year.
December 19, 2025
FINRA Suspends, Fines Rep Over Unapproved Trades, TextsThe Alliance Global Partners rep used his cell phone to exchange thousands of business-related texts, FINRA says.
December 19, 2025
SEC Seeks Supreme Court Review of Victimless Disgorgement: SEC RoundupAt issue: a Ninth Circuit ruling that upheld the agency’s use of disgorgement, even when no investors were harmed.
December 18, 2025
FAQ: Does Your Client Know These 2025 Tax Deadlines?April 15 is the cutoff for individual returns, but a number of other deadlines come sooner.
December 18, 2025
ERISA Attorney Fred Reish Moves to Prime Capital FinancialThe longtime attorney leaves Faegre Drinker to head the RIA's fiduciary and ERISA practice.
December 18, 2025
How to Capitalize on the $6,000 Senior DeductionThis temporary benefit is "stackable" and can be taken whether or not your client itemizes.
December 17, 2025
SEC Issues New Warning on Marketing Rule ComplianceA risk alert points to missteps advisors are making in testimonials and endorsements as well as third-party ratings.