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.
Three Retirement Income Crises Are Brewing. Are Your Clients Ready?
By Ric EdelmanAdvisors are likely unfamiliar with two of these looming threats — and have not altered their advice to clients.
November 22, 2023
RMDs, Venmo Reporting and Other Tax Issues to Watch Now: Jeff LevineThe coming year or two will undoubtedly be a "tax crunch time," warns the self-professed "planning nerd."
November 22, 2023
IRS Again Delays $600 Reporting Requirement for Venmo Payments, CrowdfundingThe agency will phase in the reporting requirement with a higher threshold in 2024.
November 22, 2023
SEC Committee to Examine Accredited Investor DefinitionThe committee will review the existing definition and consider whether changes could boost capital-raising opportunities.
November 21, 2023
Ex-Advisor Solicited Client Money for Film Business, Regulators SayChecks to Canal Productions represented self-dealing at an elderly client's expense, the inquiry alleges.
November 21, 2023
Advisor: DOL Rollover Fee Disclosure Plan Would Hurt AnnuitiesThe higher cost of annuities versus other options could deter investors, says the president of LCM Capital.
November 20, 2023
Debate: Will the New DOL Fiduciary Rule Hurt Retirement Investors?Two professors disagree on the extent to which advisors would limit their counsel should these protections be enacted.
November 20, 2023
SEC OKs New FINRA Rules for Home Offices, Remote InspectionsThe changes "reflect today's hybrid work environment while still providing critical investor protections," FINRA said Monday.