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.
Is a Spousal Trust the Right Estate Planning Strategy for Your Client?
By Bryan AppelSLATs provide flexibility and tax benefits, but the increase in the lifetime estate and gift tax exclusion has shifted the conversation.
July 15, 2026
Roth IRAs for Kids: A Planning Opportunity for the FamilyThe benefits of these accounts for minors are often overlooked, given that they are typically retirement income vehicles.
July 15, 2026
Ex-Ameriprise Rep Wins $200K, Expungement in Defamation CaseBrooke Pilant claimed defamation, intentional misrepresentation and tortious interference. A FINRA arb panel agreed.
July 14, 2026
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How to Track Life Insurers' 'Payment in Kind' ExposurePIK is no longer about farmers paying off loans with loads of carrots; it's a key health indicator for private credit portfolios.
July 13, 2026
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A New Custody Rule Is on the SEC's Agenda. Here's What to Know.The agency plans to issue a proposed rule that would address questions raised by advisors about holding crypto.
July 13, 2026
New Bill Eliminates SALT Cap Marriage PenaltyThe legislation would double the deduction cap on state and local taxes for couples filing jointly.
July 10, 2026
Advisors, Take Note: SEC Rule Revamps Are on the WayThe agency's just-released Reg Flex agenda for 2026 includes several hot-button issues for advisors.
July 09, 2026
IRS Rolls Out Automatic First-Time Penalty ReliefTaxpayers qualify if they have filed and paid on time for the past three years.