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.
Inflation Spells Significant 2025 Tax Adjustments
By John ManganaroChanges will apply to standard deduction amounts, marginal rates and various credits beginning in tax year 2025.
December 23, 2024
SEC Fines RIA Over Marketing Rule ViolationsAtlas Financial Advisors falsely claimed its Portfolio Shield strategies' hypothetical performance was validated by Morningstar, the regulator says.
December 20, 2024
JPMorgan, BofA and Wells Fargo Sued Over Alleged Zelle FraudFraud complaints weren’t addressed by the banks, with clients largely denied relief, the CFPB says.
December 20, 2024
Edward Jones, Cambridge and Osaic to Pay Clients $8.2M Over Excess FeesThe firms failed to give clients mutual fund sales charge waivers and fee rebates, FINRA says.
December 20, 2024
Wells Fargo and LPL to Pay $1.8M to Settle SEC ChargesEach firm agreed to pay a $900,000 penalty for failing to provide complete and accurate trading information.
December 20, 2024
DC Circuit Ruling Deals Blow to FINRA's Disciplinary Authority: SEC RoundupThe court upheld an injunction preventing FINRA from immediately expelling Alpine Securities without SEC review.
December 20, 2024
The CMS 2026 Proposed Rule Could Shake Your WorldIf you help clients with Medicare plans, life could soon become more complicated.
December 19, 2024
Schwab Seeks to Block Former Advisor From Soliciting ClientsThe firm wants to block its former advisor, Robert Van Ortega, from soliciting clients for his new RIA.