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.
Dealing With a 'Messy' IRS
By Melanie WaddellAdvisors should plan ahead for tax filing season and prepare clients for potential delays, analyst Jeff Bush says.
November 07, 2025
FINRA Bars Ex-Morgan Stanley Rep Fired for Recommending Unapproved InvestmentsEric Brian Kleiner also failed to fully disclose an outside investment, according to the regulator's order.
November 07, 2025
Ex-Morgan Stanley Rep Suspended Over Transfers From Wife's IRAFINRA suspended Milwaukee-based Michael J. Schmidt for two months and fined him $5,000.
November 07, 2025
Is Regulation by Enforcement Dead Under Atkins?: SEC RoundupThe SEC's enforcement activity has slowed to a crawl. Two former SEC economists explain the "unprecedented slowdown."
November 06, 2025
10 States With the Biggest Hikes in ACA PremiumsRate filings for 2026 show large differences in health insurance costs across the 50 states, MoneyGeek research finds.
November 06, 2025
Last-Minute Rollover? Avoid RMD Surprises Before Year-EndAs part of year-end tax planning, clients should consider how late-in-the-year IRA rollovers affect their RMD obligations.
November 05, 2025
IRS Releases Penalty Relief for Tax and Tips Under OBBBAThe relief is limited to returns and statements filed and provided for tax year 2025.
November 05, 2025
Election Results Position Democrats to Regain HouseThe victories "were a clear repudiation of Donald Trump and the Republicans," said Greg Valliere.