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 Working to Modify Firms' SEC Texting Settlements
By Melanie WaddellFINRA will consult with the SEC to modify the "collateral consequences" of agreements made with 77 firms.
May 08, 2025
Wall Street Brokers Risk Losing Billions in Fees on SEC ShiftA potential regulatory shift in favor of the ETF industry is expected to shake up the business models.
May 07, 2025
SALT Republicans Have to Accept ‘Unhappy’ Deal, GOP Chair WarnsThere will be a boost to the $10,000 cap on this deduction, but not as much as some states want.
May 06, 2025
FINRA Clarifies Outside Business Activities PlanBrokers will not be required to report personal transactions like trading bitcoin or buying insurance, FINRA said Monday.
May 06, 2025
UBS Will Pay $511M to End Credit Suisse U.S. Tax ProbeA bank unit pleaded guilty to conspiring to help clients hide over $4 billion from the IRS.
May 05, 2025
IRS Lost 31% of Tax Auditors in DOGE Downsizing, Watchdog FindsThe departures are likely to hamper the agency’s ability to go after tax cheats.
May 05, 2025
Ed Slott: IRS Just Made QCD Reporting Easier, but Questions RemainClients can now get 1099s for their qualified charitable distributions. Still, advisors must ensure clients follow the rules.
May 05, 2025
Life Insurance Brokers Need DOL AttentionThe author makes the case for changing how the federal government regulates independent life insurance brokers.