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.
House Tax Plan: The Details Advisors Need to Know
By John ManganaroJeff Levine breaks down key provisions of the House Republicans' draft tax bill, up for debate Tuesday.
May 09, 2025
FINRA Working to Modify Firms' SEC Texting SettlementsFINRA will consult with the SEC to modify the "collateral consequences" of agreements made with 77 firms.
May 08, 2025
10 Years On, Social Security’s Deemed Filing Rules Still ConfuseNuanced questions about the claiming strategy keep tripping people up, especially in cases of divorce.
May 08, 2025
Social Security Backs Down on 100% ClawbacksIn an "emergency message" to employees, the agency ordered a 50% withholding rate for retirement benefit overpayments.
May 08, 2025
Wall Street Brokers Risk Losing Billions in Fees on SEC ShiftA potential regulatory shift in favor of the ETF industry is expected to shake up the business models.
May 07, 2025
SALT Republicans Have to Accept ‘Unhappy’ Deal, GOP Chair WarnsThere will be a boost to the $10,000 cap on this deduction, but not as much as some states want.
May 06, 2025
FINRA Clarifies Outside Business Activities PlanBrokers will not be required to report personal transactions like trading bitcoin or buying insurance, FINRA said Monday.
May 06, 2025
UBS Will Pay $511M to End Credit Suisse U.S. Tax ProbeA bank unit pleaded guilty to conspiring to help clients hide over $4 billion from the IRS.