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.
State Regulators See Rise in Tech-Related Schemes
By Melanie WaddellInvestment frauds connected to social media use have been identified as "significant dangers" in an enforcement report.
October 15, 2025
Even a Shutdown Can’t Stop the Social Security COLAMartha Shedden, who heads an advocacy organization, sees encouraging signs in an otherwise worrying political situation.
October 15, 2025
More Rule Changes Coming: FINRA Chief"We're looking at a wide range of areas, again based on feedback from our members," Robert Cook says.
October 15, 2025
Vanguard's Equity Head Joins SEC Investor Advisory CommitteeThe agency added four members to the panel, which advises on regulatory priorities and initiatives.
October 15, 2025
This Estate Tax Filing Mistake Can Cost Clients MillionsPortability between spouses is a powerful legal construct in estate planning, but it does not apply automatically.
October 15, 2025
What the New Tax Law and Other 2026 Changes Mean for Your PracticeNow you have the rules and the numbers. What do you do with them?
October 14, 2025
New Bill Gives Trump's Order on Alts in 401(k)s the Force of LawThe Retirement Investment Choice Act codifies the order, which directs the SEC and Labor to examine existing guidance.
October 14, 2025
Start Tax Filing Season on Time, Lawmaker Urges IRSThe previous acting IRS commissioner said the start date would be delayed to mid-February to implement OBBBA changes.