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.
Avoiding Tax Advice Liability: 9 Things Advisors Must Know
By John ManganaroAdvisors can't file returns for clients, but there's still a lot they can do on the tax front.
January 05, 2024
House Panel to Examine DOL Fiduciary RuleA Capital Markets Subcommittee hearing Jan. 10 will examine the rule's implications for retirement savings.
January 04, 2024
Tax and Wealth Management Meet in a Growing Sweet SpotCFP and enrolled agent Dave Alison leans in to a "holistic" foundation to serve clients and advisors alike.
January 04, 2024
IRS Clarifies Secure 2.0 RulesThe Q&A guidance addresses Roth contributions, auto-enrollment and terminal illness distributions.
January 03, 2024
Bernie Sanders Applauds DOL Fiduciary RuleThe plan "levels the playing field" by applying "a uniform advice standard to retirement investments," the senator said.
January 03, 2024
FINRA Moves to Tighten Brokers' Ability to Borrow Client MoneyFINRA's plan would strengthen the general prohibition against borrowing and lending and narrow some existing exceptions.
January 03, 2024
Schwab Urges DOL to Withdraw 'Ill-Fated' Fiduciary RulePeter Morgan, Schwab's general counsel, told Labor that its plan is "a solution in search of a problem."
January 02, 2024
SEC Approval of Bitcoin ETFs Could Come This WeekMy prediction: They will collectively represent the most successful ETF launch in history. But don't get too excited.