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.
FAQ: Does Your Client Know These 2025 Tax Deadlines?
By Roger WohlnerApril 15 is the cutoff for individual returns, but a number of other deadlines come sooner.
December 17, 2025
SEC Issues New Warning on Marketing Rule ComplianceA risk alert points to missteps advisors are making in testimonials and endorsements as well as third-party ratings.
December 16, 2025
Most Believe Congress Has Broken Social Security Promises: CatoA new research report offers a comprehensive look into Americans’ views on the federal insurance program.
December 16, 2025
BD to Pay $150K Over L Bond Recommendations to SeniorsKingswood Capital, FINRA says, failed to supervise a rep's sale of a high-risk investment from GWG Holdings.
December 15, 2025
How Social Media’s Influence on Investing Is Evolving: FINRAIt provides opportunities for member firms to engage with clients and gain market insights from data, a study finds.
December 15, 2025
FINRA Fines Ex-Raymond James Rep for Taking, Altering Client InfoThe rep changed client contact information in Raymond James' system before leaving for Piper Sandler, FINRA states.
December 12, 2025
Social Security Case Study: How a Couple Could Boost Lifetime Benefits by $100KClients may be surprised by just how much of a difference an optimal claiming decision can make.
December 11, 2025
House Passes Sweeping Package on Retirement, Investors and FraudOne of more than 20 bills in the INVEST Act calls for FINRA to administer an accredited investor exam.