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.
Market Confidence Defies Data as Risks Loom: Bob Doll
By Dinah Wisenberg BrinOptimism "flies in the face" of firming inflation data and a positive U.S. output gap, the strategist says.
August 29, 2025
SEC Bars Advisor Over Cherry-Picking SchemeBurleson disproportionately allocated profitable option trades to his personal account and unprofitable ones to his clients’ accounts.
August 28, 2025
7 Tricky Social Security Tax Rules to KnowUp to 85% of clients' benefits may be subject to federal income tax if their combined income exceeds certain thresholds.
August 26, 2025
IRS to Leave Interest Rates Flat in Q4For individuals, the rate for overpayments and underpayments will be 7% per year, compounded daily.
August 26, 2025
SEP IRAs vs. Solo 401(k)s: What Small-Business Owners Should KnowMany owners spend their working years focusing on growing a business, at the expense of fully funding retirement accounts.
August 26, 2025
Rep Violated Reg BI With Excessive Trades: FINRAJoseph Kelly of Spartan Capital Securities excessively effected transactions in the accounts of four retail customers, FINRA found.
August 25, 2025
U.S. Bancorp Unit Fined $500K, Censured Over Suspicious Activity ReportsThe firm incorrectly used the reporting threshold for banks rather than broker-dealers, FINRA reported.
August 22, 2025
Proposed Social Security-Style Long-Term Care Benefit Gets High MarksProvisions of the WISH Act would dramatically improve many Americans’ retirement prospects, a Morningstar report suggests.