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.
First Trust Portfolios to Pay $10M Over Excessive Gifts to Reps
By Melanie WaddellFirst Trust preconditioned gifts on reps of client frms achieving sales targets, FINRA said.
October 30, 2025
5 IRS-Related Bills of 2025A number of measures have been introduced this year to change the tax code.
October 29, 2025
With Two Months to Go, RIA Deals Set New Full-Year Record: DeVoeWith a strong third quarter, the industry is set to surpass the 300-transaction mark for the first time.
October 29, 2025
Ex-Morgan Stanley Advisors Sue DOL in Deferred Comp Case"The government isn’t supposed to take a side on an issue like this," a lawyer for the advisors says.
October 29, 2025
Government Shutdown Has Cost Economy $18B: CBOThat figure “will intensify” in the weeks to come, according to the Congressional Budget Office.
October 29, 2025
Warren, Sanders Press SEC, Labor to Explain Guardrails on Alts in 401(k)sIn a letter Tuesday, the senators expressed "serious concerns" about making private investments available in the accounts.
October 29, 2025
UnitedHealth Expects Medicare Plan Enrollment to Fall 1MThe insurer projects that its ACA exchange numbers will decrease by two-thirds in 2026.
October 28, 2025
Harvard Law Prof on Ending Quarterly Reports, Mandatory Arb: SEC RoundupHarvard Law Professor Hal Scott unpacks two current debates that will shape the future of U.S. public markets.