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.
Debate: Does Auto Loan Interest Warrant a Tax Deduction?
By Robert Bloink and William H. ByrnesThe Trump administration has proposed an above-the-line deduction of up to $10,000 per year.
June 06, 2025
DOL Retirement Unit Needs 'Major Turnaround,' Nominee SaysDaniel Aronowitz told senators he'd "strive to provide regulatory clarity" to Labor's fiduciary rule "as applied to IRA rollovers."
June 05, 2025
Accredited Investor Qualification Bill ReemergesThe bill would update the list of certifications that would give an investor wider access to private investments.
June 05, 2025
FINRA Panel Awards $1M to Advisor Over UBS TerminationUBS said it will consider its options after the split arbitration decision.
June 05, 2025
This Simple Mistake Turns an Inherited IRA Into a Tax BombBeneficiaries often overlook one step, inadvertently causing the entire account balance to become currently taxable.
June 05, 2025
FINRA Panel Orders Advisor to Pay Ameriprise $383KAmeriprise accused the advisor of a "brazen scheme" to take account information to his new RIA.
June 04, 2025
Kellyanne Conway Talks Trump Tariffs"I don’t know why anybody’s surprised that he went ahead with tariffs," the former Trump advisor said Wednesday.
June 04, 2025
Bill Advancing in Congress Creates Senior Fraud Task Force at SECThe Senior Security Act passed the House Financial Services Committee and would help strengthen protections against financial predators.