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.
Why Some Wealthy Clients Should Claim Social Security Early
By John ManganaroAsh Ahluwalia has helped many wealthy couples optimize, not maximize, their benefit claiming decisions — and the distinction matters.
August 01, 2025
SEC Launches AI Task ForceThe group will work on innovation from divisions and offices and facilitate "responsible AI integration" across the agency.
August 01, 2025
New Tax Law Eases Reporting Rules for Gig Work, Payment AppsThe One Big Beautiful Bill made a change that could greatly reduce 1099 reporting burdens for some clients.
August 01, 2025
Ex-Fidelity Advisor Charged With Fraud, Money LaunderingThe ex-Fidelity advisor took more than $2 million from a former client to travel, pay debts, DOJ says.
August 01, 2025
12 States With the Most RIAs Registered Outside the U.S.SmartAsset’s research found that 2.6% of all U.S.-based RIAs are registered with a foreign regulatory authority.
July 31, 2025
Ex-Amerprise Rep Barred for Taking $2.2M From ClientsThe rep, who started in the business in 1994, said he was borrowing money from two of his customers — one age 77.
July 31, 2025
What Tax-Free Home Sales Could Mean for Wealthy AmericansJeff Levine says proposed legislation might lead to some "VERY interesting" capital allocation decisions.
July 31, 2025
Goldman Sachs Taps Republican Fixer to Succeed Chief LobbyistGoldman Sachs Group Inc.’s chief global lobbyist, Michael Paese, is moving on after 16 years.