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.
How to Help Clients Avoid Medicare IRMAA Surcharges
By Roger WohlnerCrossing certain MAGI thresholds mean extra fees for Parts B and D — and beware the two-year lookback.
October 27, 2025
FINRA Bars Ex-Raymond James Rep Accused of Stealing Client FundsJose Gamez failed to appear for testimony related to using client assets for personal reasons, the order states.
October 27, 2025
Suit Accuses First Trust of Aiding $89M Fraud Targeting RetireesThe scheme involved "extraordinarily risky" structured notes tied to Zoom, Tesla, Netflix and Amazon stocks, the filing contends.
October 24, 2025
Out of FINRA's Sight, 'Bad Brokers' Keep Working in Financial ServicesThese brokers often pivot to the insurance industry, where they are likely to reoffend, a new paper finds.
October 24, 2025
Social Security COLA Disappoints Senior Groups (Again)The anticipated monthly benefit boost of $56 failed to impress groups like the AARP and Social Security Works.
October 24, 2025
BD Hit With $65K Fine Over Reg BI, Email, Outside Business ViolationsJ.K. Financial omitted information from Form CRS,, among other failures, according to FINRA.
October 23, 2025
How to Avoid Paying Taxes Twice on IRAsFailing to track and plan for the IRA basis can result in additional taxation on account funds.
October 23, 2025
Social Security Claiming: How One Widow Maximized Her BenefitsWith the right strategy, surviving spouses can add hundreds of thousands of dollars to their lifetime benefit.