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.
FINRA Is Stepping Up Reg BI Actions, Enforcement Chief Says
By Melanie WaddellThe regulator has brought cases on Form CRS, excessive trading and variable annuities, Bill St. Louis says.
April 18, 2024
Debate: Should Short-Term Health Policies Be Limited to 4 Months?Final regulations shortened the time limit on these plans, which are exempt from some ACA rules.
April 18, 2024
New SEC Risk Alert Points to 5 Marketing Rule Trouble SpotsThe alert lists compliance shortfalls advisors should fix before examiners come knocking.
April 18, 2024
House Panel OKs Bill to Limit Data Collection From InsurersThe House Financial Services Committee also rejected new FSOC rules for deciding which nonbanks need Fed oversight.
April 17, 2024
Trump Pushed to Embrace 17% Income Tax for AllDonald Trump is under pressure to embrace a flat tax rate and hold the line on the state and local tax deduction.
April 17, 2024
Supreme Court Case Could Upend a Key Succession StrategyThe case involves a life insurance strategy intended to keep remaining shareholders in control after a key shareholder's death.
April 17, 2024
IRS Waives 2024 RMDs for IRA Beneficiaries Under 10-Year Rule"Here we go again," Ed Slott tells ThinkAdvisor.
April 16, 2024
Critics Continue Fight Two Unpopular Social Security ProvisionsSocial Security's windfall elimination provision and government pension offset rules can be particularly hard on surviving spouses.