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.
Ed Slott: Clients' 2025 Tax Returns Are Key to 2026 Planning
By Melanie WaddellThe returns, which reflect the new tax law, are a "valuable roadmap" for future years, Slott tells ThinkAdvisor.
April 14, 2026
Social Security COLA Projected to Jump to 3.2% for 2027Sharply rising gas prices are driving the biggest monthly inflation jump since 2022, says Mary Johnson.
April 13, 2026
'So Far, So Good': Morningstar on Vanguard Under RamjiThe former BlackRock exec has "been pretty busy compared to past CEOs," analyst Daniel Sotiroff says.
April 13, 2026
New Bill Requires IRS to Provide Call Wait TimesThe proposed legislation would also make tax returns and notices available via the agency website or mobile app.
April 10, 2026
Lawmaker Urges SEC to Probe 'Suspicious' Trading Amid Iran WarRegulators should investigate unusual trading activity in oil and equity futures markets, Rep. Ritchie Torres said.
April 09, 2026
Long Island Advisor Pleads Guilty to $160M Investment FraudVincent Camarda of A.G. Morgan Financial Advisors faces up to 20 years in prison.
April 09, 2026
New Bill Reverses Social Security Staff CutsThe Social Security Customer Service Act requires at least 75% of new hires to serve in customer service roles.
April 08, 2026
SEC Names New Enforcement DirectorDavid Woodcock, currently a partner at Gibson, Dunn & Crutcher, will start his new SEC post on May 4.