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.
How Roth Conversions, Senior Deductions and Taxes Affect Social Security Claiming
By John ManganaroThe size and location of assets expected to complement benefits income should inform clients’ claiming decisions.
November 03, 2025
First Trust Portfolios to Pay $10M Over Excessive Gifts to RepsFirst Trust preconditioned gifts on reps of client frms achieving sales targets, FINRA said.
October 31, 2025
FINRA Bars Ex-Transamerica Rep Fired for Alleged Outside Business ActivityGeorge Ndifor Jing refused to provide documents and information requested by the regulator, according to the order.
October 31, 2025
SEC Chief Revamps the Wells Notice ProcessGoing forward, SEC staff will provide the other side with at least four weeks to respond, Atkins said.
October 30, 2025
5 IRS-Related Bills of 2025A number of measures have been introduced this year to change the tax code.
October 29, 2025
With Two Months to Go, RIA Deals Set New Full-Year Record: DeVoeWith a strong third quarter, the industry is set to surpass the 300-transaction mark for the first time.
October 29, 2025
Ex-Morgan Stanley Advisors Sue DOL in Deferred Comp Case"The government isn’t supposed to take a side on an issue like this," a lawyer for the advisors says.
October 29, 2025
Government Shutdown Has Cost Economy $18B: CBOThat figure “will intensify” in the weeks to come, according to the Congressional Budget Office.