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.
Annuity Issuer CEO Names DOL Fiduciary Rule Winners and Losers
By Allison BellF&G's Chris Blunt also has ideas about why the in-plan annuity market may not be heaven for all.
May 10, 2024
Merrill Lynch to Pay $825K Over Best Execution IssuesMerrill failed to reasonably supervise equity orders in the firm's electronic systems to ensure they were executed promptly, FINRA said.
May 09, 2024
IRS Drafts Gift and Trust Reporting ChangesThe proposal could lead to big changes for clients who get cash from overseas.
May 09, 2024
Social Security Claiming: The Case of the 11-Year Age GapIn this couple, the wife is not only much younger but expected to live longer. How can they optimize their benefits?
May 09, 2024
New FINRA Home Office Rule Resource Goes LiveThe rules around residential supervisory locations, or RSLs, take effect June 1.
May 09, 2024
IRS Releases 2025 Contribution Limits for HSAsThe agency has adjusted HSA and HRA limits for inflation.
May 08, 2024
Fee Savings From DOL Fiduciary Rule Could Top $55B: MorningstarTwo groups of investors will likely feel the biggest impact, according to a Morningstar report.
May 08, 2024
The DOL Retirement Security Rule Promotes a Narrow WorldviewInvestment advisors are not the only financial professionals with views worth considering, the author says.