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.
Medicare's IRMAA: Avoiding Post-Retirement Sticker Shock
By Robert Bloink | William H. ByrnesFor some retiring clients, avoiding the surcharge could be as simple as filling out a form.
January 22, 2024
FINRA Suspends Broker Over Reg BI ViolationsThe broker engaged in quantitatively unsuitable trading in the accounts of eight clients, three of whom were seniors.
January 18, 2024
DOL Proposes Regs to Help Job Changers Move 401(k)s AutomaticallyBiden administration officials say automatic portability will reduce cash-outs of small retirement account balances.
January 17, 2024
'Annuity King' Faces Sentencing in Fraud CasePhillip Roy Wasserman was convicted of misusing $6.3 million invested in his startup and of evading taxes.
January 17, 2024
DOL Releases FAQ on Secure 2.0 Emergency Savings AccountsLabor's FAQ covers eligibility, contribution, distribution and withdrawal rules.
January 16, 2024
FSI Resumes Legal Fight Over DOL Independent Contractor RuleTrade groups fired a new salvo in a legal battle that has been halted since 2022.
January 16, 2024
Ken Fisher Can't Have It AllFisher famously hates annuities, but there are times when they are clearly in clients' best interest.
January 16, 2024
JPMorgan to Pay $18M Over Whistleblower ViolationsInvestor clients were asked to sign agreements and not report potential securities law violations to the SEC.