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.
TIAA to Pay $2.2M for Reg BI Violations in IRA Program
By Melanie WaddellThe firm didn't disclose that core funds were more cheaply available in the IRAs' brokerage window, regulators say.
February 16, 2024
Wells Fargo Consent Order for Fake Accounts Ended by RegulatorThe 2016 order had required it to revamp how it offers and sells products and take other steps to protect clients and staff.
February 15, 2024
Big Firms Boost Their CFP NumbersEdward Jones, Fidelity, Charles Schwab and Northwestern Mutual led the way with new certified financial planners.
February 15, 2024
Democrat Pushes for Middle Way at House Fiduciary Rule HearingRep. Donald Norcross, D-N.J., wants policymakers to protect retirement savers' access to good advice.
February 15, 2024
Gensler Vows to Advance SEC's Rule Agenda as Election LoomsThe agency has finalized some 35 rules during the Biden administration, with many remaining rules opposed by Republicans.
February 14, 2024
IRS Sets Saturday Office HoursFunding to expand the availability of taxpayer assistance centers comes from the Inflation Reduction Act.
February 14, 2024
Goods, Services and You: Get Ready for New IRS Reporting Rules in 2024Millions of taxpayers who generate income via online platforms may be receiving Form 1099-K for the first time.
February 14, 2024
10 Things to Know About Estate Planning for Cross-Border CouplesWhen one spouse is a noncitizen, the couple's heirs could be in for a big tax surprise.