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 Fines, Suspends Ex-Rep Over Texting, Unauthorized Trades
By Melanie WaddellJoseph Warner Rozof made discretionary trades in clients' accounts and texted about transactions, according to FINRA.
August 28, 2025
7 Tricky Social Security Tax Rules to KnowUp to 85% of clients' benefits may be subject to federal income tax if their combined income exceeds certain thresholds.
August 26, 2025
IRS to Leave Interest Rates Flat in Q4For individuals, the rate for overpayments and underpayments will be 7% per year, compounded daily.
August 26, 2025
SEP IRAs vs. Solo 401(k)s: What Small-Business Owners Should KnowMany owners spend their working years focusing on growing a business, at the expense of fully funding retirement accounts.
August 26, 2025
Rep Violated Reg BI With Excessive Trades: FINRAJoseph Kelly of Spartan Capital Securities excessively effected transactions in the accounts of four retail customers, FINRA found.
August 25, 2025
U.S. Bancorp Unit Fined $500K, Censured Over Suspicious Activity ReportsThe firm incorrectly used the reporting threshold for banks rather than broker-dealers, FINRA reported.
August 22, 2025
Proposed Social Security-Style Long-Term Care Benefit Gets High MarksProvisions of the WISH Act would dramatically improve many Americans’ retirement prospects, a Morningstar report suggests.
August 22, 2025
Client of Scamming Ex-Advisor Accuses JPMorgan Chase of NegligenceScott Mason, of suburban Philadelphia, was sentenced to prison for draining millions from wealthy clients.