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.
What the New Roth Catch-Up Mandate Means for 2026 Tax Planning
By Robert Bloink and William H. ByrnesHigh-income taxpayers could find that their taxes will jump because of a lost tax deduction.
January 02, 2026
Osaic to Repay $4.6M in Cash Sweep FeesIts former American Portfolios unit didn't follow the fee calculation formula it disclosed to clients, according to FINRA.
December 23, 2025
FAQ: How to Plan for Inherited IRAsThe accounts have undergone significant changes in recent years in large part due to the Secure Act.
December 23, 2025
15 of the Biggest Legal Dramas in Financial Services in 2025The year in lawsuits: Poaching, an estate battle, an advisor-client affair and some eyebrow-raising emails.
December 22, 2025
Trust vs. Family Limited Partnership: Which Is Better for Estate Planning?Here are eight things to consider. according to the Colcom Group.
December 19, 2025
Expect Targeted AI Exams, Retail Fraud Crackdown in 2026The SEC's privacy and marketing rules along with continued revamps of FINRA rules are priorities for next year.
December 19, 2025
FINRA Suspends, Fines Rep Over Unapproved Trades, TextsThe Alliance Global Partners rep used his cell phone to exchange thousands of business-related texts, FINRA says.
December 19, 2025
SEC Seeks Supreme Court Review of Victimless Disgorgement: SEC RoundupAt issue: a Ninth Circuit ruling that upheld the agency’s use of disgorgement, even when no investors were harmed.