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.
FINRA Gives SEC More Time on Gift Limit Boost
By Melanie WaddellFINRA has proposed to increase the value limit on gifts by a registered person to $300.
December 08, 2025
Wealthy Clients Also Have Medicare Knowledge GapsA plan operations specialist looks at what even people who know plenty might miss.
December 08, 2025
Fund Manager's Driver Posing as Advisor Lost $1M for Investors: SECThe defendant was a driver for a registered investment advisor that managed a hedge fund.
December 08, 2025
Advisors Expect Stock Gains, With High Volatility, in 2026Nine in 10 advisors see a decline of at least 10% at some point, an InspereX survey reports.
December 05, 2025
Pandemic-Era Surge of New Investors Is OverRisk appetite is down, and interest in crypto appears to be declining, FINRA research finds.
December 04, 2025
Draft Guidelines Could Shape States' Efforts to Regulate Annuity SellersA regulator group will review the "best interest" guidance at a meeting next week.
December 04, 2025
Barclays Fined $325K for Failing to Supervise Outside Brokerage AccountsThe BD lacked procedures to collect and review employee-held outside account statements for prohibited trading, FINRA said.
December 04, 2025
IRS Mentions Annuities in New Trump Baby Account Regulation NoticeOfficials also talked about the kinds of nonbank entities that can act as account trustees.