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.
10 New Tax Numbers for Life and Annuity Professionals to Know for 2026
By Allison BellThese are some of the parameters that will shape clients' future.
October 09, 2025
IRS Issues Final Word on Catch-Up ChangesThe regulations guide employers on “super catch-up” contributions and the Roth mandate for certain high-income taxpayers.
October 09, 2025
6 Questions to Ask About Moving Trusts to Low-Tax StatesThere’s a lot to consider when it comes to relocating the entities in order to reduce taxation.
October 09, 2025
CFA Level II Pass Rate Drops to 44%, Below the Decade AverageAfter factoring in the 54% pass rate from the May test, the decade average ticked up to 46%.
October 09, 2025
FINRA Hits Ally Invest Securities With $850K Fine Over EmailsCoding errors and other technical failures in three systems caused the communications to be lost.
October 09, 2025
Ex-Wells Fargo Rep Deleted Texts, Impeded Investigation: FINRAEyan Townsend deleted business-related texts from his personal phone, according to the regulator.
October 09, 2025
Merrill Agrees to $9.5M Settlement With Retired Miami DolphinReshad Jones had accused his former advisor of stealing more than $2 million, along with other misconduct.
October 09, 2025
IRS Reveals Tax Adjustments for 2026The changes to bracket thresholds, credits and deduction amounts apply to more than 60 tax provisions.