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.
Labor Secretary Considers Rewrite of Pension Risk Transfer Rules
By Allison BellJulie Su, the acting DOL head, told Congress she's looking at issues such as private equity ownership and reinsurance.
June 24, 2024
Eye-Watering Texting Fines Need Transparency: SEC RoundupThe American Securities Association's CEO talks about why the group is suing the SEC.
June 21, 2024
What the RIA Industry Looks Like Now, in 4 ChartsThe number of RIAs continues to grow as well as their AUM, an IAA and COMPLY report finds.
June 21, 2024
Fed Faults Living Wills of BofA, Citi, Goldman and JPMorganFour banks must improve their blueprints for a hypothetical wind-down after regulators find issues in their plans.
June 21, 2024
More SEC Rules in Peril With Private Fund Rule StrikedownTwo of the SEC's main rulemaking statutes hang in the balance after the recent Fifth Circuit decision.
June 21, 2024
Wealth.com Launches Family Office-Inspired Estate Planning ToolsThe new tools are intended to help advisors navigate HNW planning issues like trusts and generation-skipping transfer taxes.
June 20, 2024
IRS Targets 3 Types of Partnership TransactionsRegulations would address taxpayers shifting the basis of assets between partners or entities to lessen capital gains.
June 20, 2024
Ed Slott: IRAs Are a Ticking Tax Bomb"It would almost be malpractice for any financial or tax advisor to ignore the coming tax storm," Slott says.