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.
New Marketing Rule, AI in SEC Examiners' Crosshairs
By Melanie Waddell"You're going to see us focusing on marketing in almost every exam," SEC's Natasha Vij Greiner says.
March 06, 2024
Secure Act 2.0 Smooths Path for Small-Business Retirement Plan Do-OversThe law makes it easier to switch from SIMPLE IRAs to a safe harbor 401(k).
March 06, 2024
Tax Court Rules on New Secure 2.0 Limits for IRA-Related PenaltiesNew time limits on penalties for excess IRA contributions and missed RMDs are not retroactive, the court ruled.
March 06, 2024
SEC Scales Back New Pollution-Disclosure RulesUnder the final rules, publicly traded companies have to disclose actual or potential material impacts of climate-related risks.
March 06, 2024
On 529-to-Roth Rollovers, Advisors Await IRS Answers, With a ShrugWhile open questions remain around these rollovers, some advisors say there are better ways to save for college.
March 05, 2024
FSI Asks Court to Strike Down DOL Independent Contractor RuleThe new rule is arbitrary and capricious, FSI and its coalition partners argue.
March 05, 2024
Ex-Credit Suisse Clients Face Grand Jury Probes Over TaxesMeanwhile, the Justice Department is investigating whether the bank, now owned by UBS, helped Americans hide assets from the IRS.
March 04, 2024
Watch Out for These Potential Tax Changes in 2024Changes could affect such areas as first-year depreciation and interest deductions, plus the child tax credit.