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.
Alicia Munnell Praises DOL Rollover Rule, Blasts New Social Security 2100 Act
By Jane Wollman RusoffThe CRR director once supported the long-debated bill but says a newly added provision would "cause chaos."
December 20, 2023
Can You Ace This Charity Quiz?Test your knowledge on how clients can manage RMDs, rebalance portfolios and more while doing good.
December 19, 2023
Ed Slott: 8 Top Retirement, Tax Priorities for Advisors in 2024The IRA expert highlights what to focus on when it comes to existing and looming retirement-related rules.
December 19, 2023
Senate Confirms O'Malley as New Social Security CommissionerThe former Maryland governor has said that Social Security faces a "customer service crisis."
December 18, 2023
Irrevocable Trusts: More Revocable Than You Might ThinkAn increasing number of wealthy families are looking to amend these trusts, Scott Small says.
December 18, 2023
10 Worst Financial Advisors in America: 2023While most advisors make clients' lives better, others stand accused of financial crimes — and worse.
December 18, 2023
Complying With SEC Cyber Rules Remains 'Super Difficult'Rules now require public firms to report cyber issues within four business days of finding them "material" to shareholders.
December 15, 2023
Why the Pool of Accredited Investors Keeps Growing: New SEC ReportOne big driver of the growth is retirement savings, the SEC says.