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.
FINRA Bars Ex-Edward Jones Rep Fired Over Outside Investments
By Melanie WaddellThe rep failed disclose documents to FINRA related to the investments, which included purported crypto mining companies.
October 15, 2025
More Rule Changes Coming: FINRA Chief"We're looking at a wide range of areas, again based on feedback from our members," Robert Cook says.
October 15, 2025
Vanguard's Equity Head Joins SEC Investor Advisory CommitteeThe agency added four members to the panel, which advises on regulatory priorities and initiatives.
October 15, 2025
This Estate Tax Filing Mistake Can Cost Clients MillionsPortability between spouses is a powerful legal construct in estate planning, but it does not apply automatically.
October 15, 2025
What the New Tax Law and Other 2026 Changes Mean for Your PracticeNow you have the rules and the numbers. What do you do with them?
October 14, 2025
New Bill Gives Trump's Order on Alts in 401(k)s the Force of LawThe Retirement Investment Choice Act codifies the order, which directs the SEC and Labor to examine existing guidance.
October 14, 2025
Start Tax Filing Season on Time, Lawmaker Urges IRSThe previous acting IRS commissioner said the start date would be delayed to mid-February to implement OBBBA changes.
October 13, 2025
10 New Tax Numbers for Life and Annuity Professionals to Know for 2026These are some of the parameters that will shape clients' future.