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.
This Secure 2.0 Quirk Could Stop High Earners’ Retirement Catch-Up Contributions
By John ManganaroThe fact that employers aren’t required to offer Roth accounts could have a big unintended effect.
February 19, 2025
No, Social Security Is Not Rife With FraudThe notion that millions of dead people are receiving checks is "absurd, corrosive nonsense," a financial writer says.
February 18, 2025
SEC Fines One Oak Capital, Rep Over Account ConversionsThe firm failed to disclose that conversions from brokerage to advisory accounts would result in higher fees.
February 18, 2025
Judge Denies States' Bid to Halt Musk Access to U.S. Agencies for NowThe states had raised a valid claim with "serious implications" but needed more evidence, the judge said.
February 18, 2025
IRS Memo Sets Stage for Musk Staffer to Access Taxpayer DataThe IRS is poised to hand over unlimited access to taxpayer data to an advisor from Elon Musk's DOGE.
February 18, 2025
Acting Social Security Commissioner Steps Down After DOGE ClashMichelle King resigned after refusing to hand over private Social Security data, according to news reports.
February 14, 2025
Morgan Stanley Ordered to Pay $843,000 to Senior Scam VictimA FINRA arbitration panel found the company liable for failing to protect the 76-year-old widow.
February 14, 2025
Ed Slott: Roth Conversion Changes in Trump Tax-Cut Law Are Here to StayThe 2017 tax changes may have an expiration date, but the Roth recharacterization limits do not.