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.
Fired Edward Jones Advisor Wins a Cleanup of His Record
By Dinah Wisenberg BrinThe explanation for Matthew Hawk's dismissal on his Form U-5 was defamatory, a FINRA arbitrator ruled.
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."
June 05, 2025
Accredited Investor Qualification Bill ReemergesThe bill would update the list of certifications that would give an investor wider access to private investments.
June 05, 2025
FINRA Panel Awards $1M to Advisor Over UBS TerminationUBS said it will consider its options after the split arbitration decision.
June 05, 2025
This Simple Mistake Turns an Inherited IRA Into a Tax BombBeneficiaries often overlook one step, inadvertently causing the entire account balance to become currently taxable.