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.
Transamerica Hires Former Crump Life CEO
By Allison BellRobert Carney will head individual life and annuity distribution.
April 16, 2024
Advisor on FBI's 'Most Wanted' List Arrested on Fraud ChargesAuthorities say William Jack Berg defrauded his clients, using their $1.5 million for his own benefit.
April 16, 2024
Life and Annuity Issuers Could Help Break the Banks: EconomistsA working paper details potential problems at mutual funds, pension plans and broker-dealers, as well as insurers.
April 15, 2024
DOL Seeks Feedback for 'Retirement Savings Lost and Found' DatabaseSecure 2.0 Act directs EBSA to establish a search tool by Dec. 29.
April 15, 2024
Debate: Should the Government Force Mega-RMDs on Massive Retirement Accounts?A proposal in Biden's budget targets those who have saved at least $10 million in tax-preferred funds.
April 15, 2024
Don't Finalize Fiduciary Rule Now, Groups Urge DOLA supporter of the rule called their request "the last refuge of a desperate group of industry opponents."
April 15, 2024
Pass Rate and Turnout Grow for CFP ExamThe March 2024 test was administered to 3,683 candidates, breaking the record set a year ago.
April 15, 2024
7 Last-Minute Reminders for Tax Day 2024The IRS and tax experts have released some important notes to keep in mind as returns are processed.