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.
Medicare Could Tie Commission Growth to Overall Inflation Rate
By Allison BellThat's one of the suggestions in an Urban Institute report on the role of Medicare plans' agents and brokers.
September 24, 2025
Merrill Sues Schwab, Dynasty Over Mega-Team's Defection, Alleging Corporate RaidScores of Merrill advisors and other staff left an Atlanta office managing $129 billion for Dynasty-backed OpenArc.
September 24, 2025
Test Your Tax Knowledge: Business Expense DeductionsSee if you can ace our quiz on tax breaks for business travel, home offices and more.
September 24, 2025
FINRA Files to Raise Gift Limit to $300The BD regulator proposed in June an increase to $250 but was swayed by industry feedback.
September 24, 2025
6 Must-Know IRS Rules Released in 2025While layoffs reduced the IRS' headcount, the agency has been pushing out new policies, with more expected soon.
September 23, 2025
IRS Releases Draft Form With Trump Tax Law ChangesThe draft form outlines new tax breaks, including No Tax on Tips and the senior deduction.
September 23, 2025
SEC Chief Wants 'Innovation Exemption' to Fast-Track Crypto Product ApprovalsSEC Chairman Paul Atkins also said the agency would write new rules for crypto in the coming months.
September 22, 2025
Ex-Wells Fargo Broker Suspended, Fined Over $675K Customer BequestCarol Abdo-Brownsberger provided inaccurate information on her role as a foundation trustee, FINRA says.