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.
Clients Can Tap Their 401(k) After a Disaster. Here's What to Know.
By Robert Bloink | William H. ByrnesThe Secure Act made significant changes with respect to disaster-related distributions from retirement accounts.
October 16, 2024
Citadel Securities to Pay $1M Over CAT Reporting FailuresCitadel Securities fell short on reporting data for tens of billions of order events, FINRA says.
October 16, 2024
XYPN Unveils 'New Path to Independence' via Corporate RIA, With a TwistThe Sapphire offering differs from other corporate RIAs in key ways, co-founders Michael Kitces and Alan Moore say.
October 15, 2024
Ameriprise Says LPL Urged Advisor to Improperly Lure ClientsLPL's "regular pattern and practice is to encourage recruits to violate their contractual agreements," Ameriprise alleges.
October 14, 2024
Jeff Levine Joins Tax Planning Faculty at American CollegeLevine will help advisors meet client demand for tax-informed planning.
October 11, 2024
Citi: Advisor Improperly Lured Clients to Move Millions to Wells FargoMichael Fowler contacted clients multiple times to solicit them to switch firms, Citi alleges.
October 11, 2024
IRS Provides Tax Relief to Hurricane Milton Victims in FloridaTaxpayers in affected areas have until May to file various federal returns and make certain tax payments.
October 10, 2024
Trump Vows to End Income Taxes on Americans Living AbroadCurrently, all expats must file tax returns but those who make $126,500 or less aren't required to pay any U.S. taxes.