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.
AI Raises Cybersecurity Stakes for Wealth Managers
By Carlo di FlorioThe technologies introduce an evolving set of risks that firms must manage at a pace that matches rapid adoption.
July 08, 2026
Call for FINRA to Update Document-Request Rules Draws ScrutinyThe Rule 8210-related changes, part of a larger report, would make it easier for firms to block enforcement, PIABA's president argues.
July 08, 2026
IRS Issues Final Regs on a Dodgy Trust TransactionThe strategy at issue involves moving highly appreciated property to a charitable remainder annuity trust, Jeff Bush explains.
July 07, 2026
FINRA Suspends NYLife Rep Fired for Falsifying DocumentsKim Thien Tran, suspended for nine months and fined $5,000, also commingled customer funds, an order states.
July 07, 2026
'A Slap in the Face': Groups Urge SEC to Keep Quarterly ReportingBetter Markets and CFA Institute suggest that the agency should reconsider allowing semiannual updates by publicly traded companies.
July 07, 2026
Don't Forget the Personal Rungs on the Career LadderOver my long career representing financial professionals, I've learned that money and ego are not enough to succeed.
July 06, 2026
Debate: Do HSAs Address Healthcare Affordability Gaps?Many Republicans in Congress have advocated for expanding health savings accounts as a solution to the affordability issue.
July 06, 2026
PRO
These Funds Are Quietly Gobbling Up Retirement Plan AssetsCollective investment trusts are showing up on more and more employers' plan menus. Here's what advisors should know.