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.
Time Running Out to Secure Green Energy Tax Breaks
By Robert Bloink and William H. ByrnesThe recent tax and spending megabill significantly accelerates the repeal of the Biden-era clean energy credits.
September 02, 2025
Market Confidence Defies Data as Risks Loom: Bob DollOptimism "flies in the face" of firming inflation data and a positive U.S. output gap, the strategist says.
September 02, 2025
FINRA Fines, Suspends Ex-Rep Over Texting, Unauthorized TradesJoseph Warner Rozof made discretionary trades in clients' accounts and texted about transactions, according to FINRA.
August 29, 2025
Vanguard, Empower to Pay $25M Over Failures Tied to Advisor CompensationThe two firms failed to disclose conflicts in connection with their managed account programs, the SEC says.
August 29, 2025
SEC Bars Advisor Over Cherry-Picking SchemeBurleson disproportionately allocated profitable option trades to his personal account and unprofitable ones to his clients’ accounts.
August 28, 2025
7 Tricky Social Security Tax Rules to KnowUp to 85% of clients' benefits may be subject to federal income tax if their combined income exceeds certain thresholds.
August 26, 2025
IRS to Leave Interest Rates Flat in Q4For individuals, the rate for overpayments and underpayments will be 7% per year, compounded daily.
August 26, 2025
SEP IRAs vs. Solo 401(k)s: What Small-Business Owners Should KnowMany owners spend their working years focusing on growing a business, at the expense of fully funding retirement accounts.