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.
The Hottest Tax Legislation Debate Isn’t In Washington
By John ManganaroJoin Professors Byrnes and Bloink on June 11 for a fierce, but friendly, debate about tax policy.
May 15, 2025
FINRA to Raise $100 Gift LimitThe regulator also plans to codify looser rules on personal gifts.
May 14, 2025
House Tax Bill Extends Crucial Deductions for Business-Owning ClientsThe bill reinstates 100% bonus depreciation and increases the break on qualified business income.
May 14, 2025
Retiree Sues Schwab, Hightower Over $422,000 Portfolio LossThe firms misrepresented a risky margin loan as a safe credit line and made unauthorized trades, the suit says.
May 13, 2025
Vanguard Shared Client Trades With Google and LinkedIn: LawsuitThe proposed class action involves consumers who use Vanguard's website or mobile app.
May 13, 2025
2026 Social Security COLA Estimate Rises to 2.4%The projected COLA has risen again, but it’s still running slightly below the 2025 figure.
May 13, 2025
House Tax Plan: The Details Advisors Need to KnowJeff Levine breaks down key provisions of the House Republicans' draft tax bill, up for debate Tuesday.
May 13, 2025
FINRA Rules Need 'Constant' Attention: CEO CookThe regulator plans to overhaul outdated rules and embrace "continuous" change, Robert Cook said at FINRA's annual conference.