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.
Ex-Morgan Stanley Rep Barred by FINRA for Alleged Profit-Sharing Scheme
By Melanie WaddellFINRA says Joseph Eisler secretly helped a client trade newly issued stock so he could profit from the arrangement.
April 16, 2025
SEC Backs Off Dealer Rule, but Legal Uncertainty Remains — SEC RoundupThe fight over who qualifies as a securities dealer isn’t finished.
April 16, 2025
Trump Aims to Cut Medicare Prescription Coverage CostsA new executive order could change Part D benefit rules and a new Medicare drug price negotiation program.
April 15, 2025
Make Tax Season the Starting Line for Year-Round PlanningOngoing conversations provide added value and an elevated experience for clients long after they file their returns.
April 15, 2025
FINRA Reevaluates Its Office CategoriesThe regulator is exploring the impact of new technology and hybrid work on how offices should be supervised.
April 15, 2025
LPL Calls Ameriprise Data-Breach Notices 'Defamatory'"Ameriprise has sunk to a new low" by sending breach notices to clients whose advisors switched firms, LPL says.
April 14, 2025
Trump Tax Cut Extensions Are Far From a Done DealClients counting on the $14 million estate tax exemption should act now, Mercer's head of wealth solutions says.
April 11, 2025
11 Common 529 Plan Questions, AnsweredThe educational accounts have a lot of potential but also come with a degree of complexity.