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.
IRAs Could Soon Help Pay for Long-Term Care Insurance
By Allison BellLife insurers want the IRS to issue the regs they need to implement a Secure 2.0 provision.
June 10, 2025
Fired Edward Jones Advisor Wins a Cleanup of His RecordThe explanation for Matthew Hawk's dismissal on his Form U-5 was defamatory, a FINRA arbitrator ruled.
June 10, 2025
SEC Investment Management Director to Step DownNatasha Vij Greiner will depart after 23 years at the agency.
June 09, 2025
Reject an Inheritance? Not Always a Bad IdeaIn certain cases, this strategy can reduce the share of the estate lost to taxes or court judgments.
June 06, 2025
Debate: Does Auto Loan Interest Warrant a Tax Deduction?The Trump administration has proposed an above-the-line deduction of up to $10,000 per year.
June 06, 2025
SEC Says Advisor Defrauded Clients on FeesDavid A. Nagler and his firm allegedly overcharged clients and levied "consulting" fees without their knowledge.
June 06, 2025
FINRA to Raise Gift Limit to $250FINRA has filed with the SEC to increase the gift limit from $100 per person per year.
June 06, 2025
DOL Retirement Unit Needs 'Major Turnaround,' Nominee SaysDaniel Aronowitz told senators he'd "strive to provide regulatory clarity" to Labor's fiduciary rule "as applied to IRA rollovers."