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.
For Annuities, Stable Rules May Beat Fewer Rules, Issuers Tell DOL
By Allison BellInsurers warned that killing old regulations that are still in use could cause big problems.
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.
August 01, 2025
New Tax Law Eases Reporting Rules for Gig Work, Payment AppsThe One Big Beautiful Bill made a change that could greatly reduce 1099 reporting burdens for some clients.
August 01, 2025
Ex-Fidelity Advisor Charged With Fraud, Money LaunderingThe ex-Fidelity advisor took more than $2 million from a former client to travel, pay debts, DOJ says.