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.
Trump Administration Plans to Boost Tax Break for Corporations
By Caitlin ReillyThe move aims to weaken the 15% minimum tax, which former President Joe Biden signed into law in 2022.
December 10, 2025
With Biden-Era Fiduciary Rule Dropped, What Comes Next?Labor said it intends to issue a revised standard around May, leaving many advisors unclear about compliance obligations.
December 10, 2025
FINRA Warns Against Careless 'Mid-Segment' RILA WithdrawalsAdvisors who recommend taking cash out early must think about the current value, according to a new oversight report.
December 10, 2025
IRS Releases New Tax Benefits Guide for HSAs Under Big Beautiful BillThe massive tax law expands HSA eligibility, as set out in a new notice.
December 10, 2025
FINRA Bars Ex-Broker Fired for Doing Business by Unapproved EmailThe ex-Marex Capital Markets rep also provided colleagues his login credentials, FINRA says.
December 10, 2025
FINRA Gives SEC More Time on Gift Limit BoostFINRA has proposed to increase the value limit on gifts by a registered person to $300.
December 10, 2025
Brokers at the Movies: 10 Hollywood Takes on Wall StreetMovies depicting financial professionals typically don’t focus on thoughtful advisors looking out for clients’ best interests.
December 10, 2025
FINRA Warns Against Careless 'Mid-Segment' RILA WithdrawalsAdvisors who recommend taking cash out early must think about the current value, according to a new oversight report.