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.
More Rule Changes Coming: FINRA Chief
By Melanie Waddell"We're looking at a wide range of areas, again based on feedback from our members," Robert Cook says.
October 15, 2025
What the New Tax Law and Other 2026 Changes Mean for Your PracticeNow you have the rules and the numbers. What do you do with them?
October 14, 2025
New Bill Gives Trump's Order on Alts in 401(k)s the Force of LawThe Retirement Investment Choice Act codifies the order, which directs the SEC and Labor to examine existing guidance.
October 14, 2025
Start Tax Filing Season on Time, Lawmaker Urges IRSThe previous acting IRS commissioner said the start date would be delayed to mid-February to implement OBBBA changes.
October 13, 2025
10 New Tax Numbers for Life and Annuity Professionals to Know for 2026These are some of the parameters that will shape clients' future.
October 10, 2025
13 New Tax Numbers to Know for 2026The IRS adjustments reflect notable changes under the new tax law.
October 10, 2025
FINRA Attempt to Change Trading Rule May Cause More Risk: SEC RoundupFINRA will seek approval to lower the minimum account balance for frequent traders to $2,000 from $25,000.
October 09, 2025
IRS Issues Final Word on Catch-Up ChangesThe regulations guide employers on “super catch-up” contributions and the Roth mandate for certain high-income taxpayers.