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.
Federal Team May Jump In When It Sees Nonbank Crash Risk
By Allison BellThe insurance sector rep noted that FSOC has promised to work with companies' main regulators.
November 02, 2023
SEC Highlights Exam Priorities for 2024Examiners will address how advisors mitigate conflicts of interest and allocate investments to certain accounts.
November 02, 2023
Social Security Chief Nominee Warns of 'Customer Service Crisis'Martin O'Malley, Maryland's former governor, told senators that the "siloed organization" needs a "common operating platform."
November 02, 2023
Equitable Eyes DOL's Fiduciary Rule ApproachBut to many industry, consumer and regulator groups, the regulation drafts look similar to the 2016 effort.
November 01, 2023
IRS Raises 401(k), IRA Contribution Limits for 2024The agency just announced 2024 increases to a number of income ranges and limits tied to retirement accounts.
November 01, 2023
Critics Take Aim at New DOL Fiduciary RuleThe plan goes too far, some critics maintain, while others see legal challenges mounting.
October 31, 2023
Draft Labor Regulations Allow Annuity CommissionsFiduciary disclosure rules would change, and sales-based awards for independent producers would be out.
October 31, 2023
Ed Slott: Yes, IRA Rollovers Are Advice Under New DOL Fiduciary RuleThat means advisors must know the tax rules for each rollover option, the IRA expert tells ThinkAdvisor.