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.
Is Regulation by Enforcement Dead Under Atkins?: SEC Roundup
By Nicolas Morgan and Tom ZaccaroThe SEC's enforcement activity has slowed to a crawl. Two former SEC economists explain the "unprecedented slowdown."
November 05, 2025
IRS Releases Penalty Relief for Tax and Tips Under OBBBAThe relief is limited to returns and statements filed and provided for tax year 2025.
November 05, 2025
Election Results Position Democrats to Regain HouseThe victories "were a clear repudiation of Donald Trump and the Republicans," said Greg Valliere.
November 04, 2025
IRS Provides Online Seminars for Tax ProsFifteen sessions cover such topics as distributions from retirement plans and IRAs.
November 03, 2025
How Roth Conversions, Senior Deductions and Taxes Affect Social Security ClaimingThe size and location of assets expected to complement benefits income should inform clients’ claiming decisions.
November 03, 2025
BD Hit With $80K Fine Over Annuity Switches, Background Checks: FINRASupreme Alliance failed to supervise purchases of deferred variable annuities and rates of VA exchanges, the order states.
November 03, 2025
FPA Names 2026 President-ElectDaniel Galli will lead the Financial Planning Association next year, with D. Crystal Alford-Cooper following in 2027.
November 03, 2025
First Trust Portfolios to Pay $10M Over Excessive Gifts to RepsFirst Trust preconditioned gifts on reps of client frms achieving sales targets, FINRA said.