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.
Sen. Warren Presses SEC Chair on Consulting Firm Sale
By Melanie WaddellPaul Atkins led Patomak Global Partners as founder and CEO, which included clients regulated by the SEC.
August 05, 2025
Fidelity Brokerage Says Former VP Took Client InfoAdam Ritter is misusing confidential information to solicit customers to his new firm, a lawsuit alleges.
August 05, 2025
Debate: Should 401(k) Catch-Up Contributions Be Roth-Only for High-Income Taxpayers?Under Secure 2.0, it's an all-or-nothing question for employers starting in 2026.
August 05, 2025
Jeremy Siegel: Stocks Not in Bubble TerritoryThe economist expects 0.75% in Fed rate cuts by year-end.
August 05, 2025
Why Some Wealthy Clients Should Claim Social Security EarlyAsh Ahluwalia has helped many wealthy couples optimize, not maximize, their benefit claiming decisions — and the distinction matters.
August 04, 2025
Under Trump's New Tax Law, Here's What to Know About SALT Cap WorkaroundThe workaround, available in most states, is still highly relevant for high-income taxpayers.
August 04, 2025
SEC Fines RIA for Failing to Conduct Surprise ExamsMunakata Associates must pay $50,000 for failing to comply with the Custody Rule's independent verification requirement.
August 01, 2025
SEC Launches AI Task ForceThe group will work on innovation from divisions and offices and facilitate "responsible AI integration" across the agency.