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.
Why the New DOL Fiduciary Rule Is Scarier Than Ever
By Kim O'BrienDOL wants to turn brokers and agents into fiduciaries, contrary to centuries of common law.
February 07, 2024
12 Filing-Season Tax Facts for 2024These must-knows can help you answer clients' questions and get them organized.
February 06, 2024
New Bill Would Block SEC Predictive Data Analytics RuleThe Protecting Innovation in Investment Act would prevent SEC from finalizing, implementing or enforcing the controversial rule.
February 06, 2024
Long-Awaited Secure 2.0 RMD Guidance, and More, Expected This YearClarity on a number of retirement provisions could come soon, former Treasury official J. Mark Iwry tells ThinkAdvisor.
February 06, 2024
More Reg BI Actions on The Way: FINRA Enforcement ChiefFINRA is also looking to improve communication and resolve cases faster, Bill St. Louis says.
February 05, 2024
Ameriprise Advisor Arrested on Jan. 6 Riot ChargesLee Giobbie of New Jersey was arrested last week and charged with multiple felonies and misdemeanors.
February 05, 2024
What If We Ended 401(k) Tax Breaks to Save Social Security?Prominent researchers differ on whether this would be double taxation or a smart use of revenue.
February 05, 2024
T+1 Starts in May. Are You Ready?Under the new settlement cycle, most securities transactions will settle on the business day following their transaction date.