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.
IRS Issues Final Word on Catch-Up Changes
By Robert Bloink and William H. ByrnesThe regulations guide employers on “super catch-up” contributions and the Roth mandate for certain high-income taxpayers.
October 09, 2025
FINRA Hits Ally Invest Securities With $850K Fine Over EmailsCoding errors and other technical failures in three systems caused the communications to be lost.
October 09, 2025
Ex-Wells Fargo Rep Deleted Texts, Impeded Investigation: FINRAEyan Townsend deleted business-related texts from his personal phone, according to the regulator.
October 09, 2025
Merrill Agrees to $9.5M Settlement With Retired Miami DolphinReshad Jones had accused his former advisor of stealing more than $2 million, along with other misconduct.
October 09, 2025
IRS Reveals Tax Adjustments for 2026The changes to bracket thresholds, credits and deduction amounts apply to more than 60 tax provisions.
October 09, 2025
IRS Furloughs Nearly Half of Workforce as Shutdown Drags OnThe move, which pauses most taxpayer services, represents a sharp departure from the first week of the shutdown.
October 07, 2025
RIAs Cautiously Optimistic, See Stock Gains in Year AheadAbout a third have increased equity allocations ahead of expected rate cuts, a new survey finds.
October 07, 2025
What Happens to SEC Exams During a ShutdownWhile SEC exams are on hold during a shutdown, advisors' compliance work isn't.