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.
15 of the Biggest Legal Dramas in Financial Services in 2025
By Dinah Wisenberg BrinThe year in lawsuits: Poaching, an estate battle, an advisor-client affair and some eyebrow-raising emails.
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.
December 16, 2025
Most Believe Congress Has Broken Social Security Promises: CatoA new research report offers a comprehensive look into Americans’ views on the federal insurance program.