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.
FINRA Warns Against Careless 'Mid-Segment' RILA Withdrawals
By Allison BellAdvisors who recommend taking cash out early must think about the current value, according to a new oversight report.
December 09, 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 09, 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 09, 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 09, 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 09, 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 08, 2025
Wealthy Clients Also Have Medicare Knowledge GapsA plan operations specialist looks at what even people who know plenty might miss.
December 08, 2025
Fund Manager's Driver Posing as Advisor Lost $1M for Investors: SECThe defendant was a driver for a registered investment advisor that managed a hedge fund.