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.
BD to Pay $150K Over L Bond Recommendations to Seniors
By Melanie WaddellKingswood Capital, FINRA says, failed to supervise a rep's sale of a high-risk investment from GWG Holdings.
December 12, 2025
Social Security Case Study: How a Couple Could Boost Lifetime Benefits by $100KClients may be surprised by just how much of a difference an optimal claiming decision can make.
December 11, 2025
House Passes Sweeping Package on Retirement, Investors and FraudOne of more than 20 bills in the INVEST Act calls for FINRA to administer an accredited investor exam.
December 11, 2025
Trump Administration Plans to Boost Tax Break for CorporationsThe move aims to weaken the 15% minimum tax, which former President Joe Biden signed into law in 2022.
December 11, 2025
FINRA Bars Ex-Broker Fired by LPL for Accessing Former Client AccountsJennifer H. Ceterko also participated in account activity in those outside accounts, according to the regulator.
December 10, 2025
With Biden-Era Fiduciary Rule Dropped, What Comes Next?Labor said it intends to issue a revised standard around May, leaving many advisors unclear about compliance obligations.
December 10, 2025
With Biden-Era Fiduciary Rule Dropped, What Comes Next?Labor said it intends to issue a revised standard around May, leaving many advisors unclear about compliance obligations.
December 10, 2025
FINRA Warns Against Careless 'Mid-Segment' RILA WithdrawalsAdvisors who recommend taking cash out early must think about the current value, according to a new oversight report.