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 Bars Ex-Morgan Stanley Rep Fired for Recommending Unapproved Investments
By Melanie WaddellEric Brian Kleiner also failed to fully disclose an outside investment, according to the regulator's order.
November 06, 2025
10 States With the Biggest Hikes in ACA PremiumsRate filings for 2026 show large differences in health insurance costs across the 50 states, MoneyGeek research finds.
November 06, 2025
Last-Minute Rollover? Avoid RMD Surprises Before Year-EndAs part of year-end tax planning, clients should consider how late-in-the-year IRA rollovers affect their RMD obligations.
November 05, 2025
IRS Releases Penalty Relief for Tax and Tips Under OBBBAThe relief is limited to returns and statements filed and provided for tax year 2025.
November 05, 2025
Election Results Position Democrats to Regain HouseThe victories "were a clear repudiation of Donald Trump and the Republicans," said Greg Valliere.
November 04, 2025
IRS Provides Online Seminars for Tax ProsFifteen sessions cover such topics as distributions from retirement plans and IRAs.
November 03, 2025
How Roth Conversions, Senior Deductions and Taxes Affect Social Security ClaimingThe size and location of assets expected to complement benefits income should inform clients’ claiming decisions.
November 03, 2025
BD Hit With $80K Fine Over Annuity Switches, Background Checks: FINRASupreme Alliance failed to supervise purchases of deferred variable annuities and rates of VA exchanges, the order states.