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.
Merrill Sues Schwab, Dynasty Over Mega-Team's Defection, Alleging Corporate Raid
By Dinah Wisenberg BrinScores of Merrill advisors and other staff left an Atlanta office managing $129 billion for Dynasty-backed OpenArc.
September 24, 2025
6 Must-Know IRS Rules Released in 2025While layoffs reduced the IRS' headcount, the agency has been pushing out new policies, with more expected soon.
September 23, 2025
IRS Releases Draft Form With Trump Tax Law ChangesThe draft form outlines new tax breaks, including No Tax on Tips and the senior deduction.
September 23, 2025
SEC Chief Wants 'Innovation Exemption' to Fast-Track Crypto Product ApprovalsSEC Chairman Paul Atkins also said the agency would write new rules for crypto in the coming months.
September 22, 2025
Ex-Wells Fargo Broker Suspended, Fined Over $675K Customer BequestCarol Abdo-Brownsberger provided inaccurate information on her role as a foundation trustee, FINRA says.
September 19, 2025
Debate: Should Limits Be Placed on a SALT Cap Workaround?After the 2017 tax overhaul, many states created pass-through entity tax (PTET) to bypass the $10,000 cap.
September 19, 2025
Lawmakers Up in Arms Over Delay of AML Rule for AdvisorsRIAs serve as an entry point for foreign money tied to corruption and terrorism, Sen. Warren and others warn.
September 19, 2025
SEC Breakthrough Lets Grayscale Launch First Multi-Token ETFThe decision lets Grayscale Investments convert its Digital Large Cap Fund into an ETF.