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.
What to Know Now About IRS' Final RMD Regs: Jeff Levine
By John ManganaroAdvisors have a lot of catching up to do in the weeks ahead, the CPA and "planning nerd" says.
July 19, 2024
IRS Releases Final RMD Regs on 10-Year RuleThe final rules make "retirement accounts (even more) insanely complicated," said Ben Henry-Moreland of Kitces.com.
July 18, 2024
Morgan Stanley Rep Violated Reg BI With ETF Sales: FINRAThe rep purchased products with sales charges that clients wouldn't have had to pay in advisory accounts, FINRA says.
July 18, 2024
Ed Slott: Why a Lump Sum Beats an IRA Rollover for Some ClientsIt's a special case that's more common than ever, Slott tells Morningstar's Christine Benz.
July 17, 2024
FINRA Reminds BDs of Their Duties When Using AIA FINRA notice reminds BDs that its rules are intended to be technology-neutral.
July 16, 2024
Off-Channel Communications Now Advisors' Top Compliance ConcernTwo new compliance surveys named unapproved messaging channels as the topic of the moment.
July 16, 2024
Ex-Broker Charged With Bank Robbery Released on BondScott Tunis admitted to robbing a bank with a fake bomb after his 2022 arrest, records show.
July 16, 2024
New DOL Fiduciary Rule Defies Court Ruling, Insurance Groups ArgueLabor Department officials exaggerate how much authority ERISA gives them, the groups say.