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.
Debate: Should 401(k) Catch-Up Contributions Be Roth-Only for High-Income Taxpayers?
By Robert Bloink and William H. ByrnesUnder Secure 2.0, it's an all-or-nothing question for employers starting in 2026.
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.
August 01, 2025
12 States With the Most RIAs Registered Outside the U.S.SmartAsset’s research found that 2.6% of all U.S.-based RIAs are registered with a foreign regulatory authority.
July 31, 2025
Ex-Amerprise Rep Barred for Taking $2.2M From ClientsThe rep, who started in the business in 1994, said he was borrowing money from two of his customers — one age 77.