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.
9 RMD Insights for Tax Season 2024
By John ManganaroMany retirement planning topics are complex, but the calculation and timing of required minimum distributions is particularly tricky.
January 26, 2024
Voya Financial Advisors Gets FINRA Penalty Over Life SalesThe company resolved a case involving about $8.7 million in compensation.
January 25, 2024
Debate: Does the Approval of Spot Bitcoin ETFs Help the Average Investor?Our experts debate whether the new funds increase or decrease the risks around bitcoin investing.
January 25, 2024
IRS Issues Rollover Relief for Maryland Prepaid 529 PlanSome transfers from the plan, which had accounting issues, to another plan can be excluded from gross income.
January 24, 2024
A Thank-You Note to Gary Gensler? You Bet.I'm sure the SEC chairman and I aren't done arguing, but the spot bitcoin ETFs' approval deserves applause.
January 24, 2024
New FINRA Home Office Rules Take Effect in JuneFINRA also set a launch date for a three-year pilot program for remote inspections.
January 23, 2024
How Racial Disparities Hurt Retirement for All: SSA OfficialKilolo Kijakazi discusses how disparities in employment and retirement plan access for women and minorities have ripple effects.
January 23, 2024
BD Crypto Communications Not Up to Snuff: FINRAA report found that 70% of retail communications potentially violate a rule on fair and balanced interactions.