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.
Advisor Fights SEC in Annuity Switching Case
By Jeff BermanJeffrey Cutter didn't violate the Advisers Act because he was acting as an insurance agent, his lawyers argue.
July 24, 2023
6 New IRS Guidelines Advisors Should KnowDigital assets, RMDs, and HSAs are just a few of the topics addressed so far in 2023.
July 21, 2023
Summertime Phishing Schemes Are Heating Up, IRS WarnsThe IRS is seeing a rise in scams, most notably promises related to a third round of Economic Impact Payments.
July 20, 2023
Appeals Court Sides With Aon in Lowe's 401(k) SuitPlaintiffs objected to the firm selling one type of service to the plan while providing another.
July 20, 2023
Merger Rules Get Tougher in Crackdown by Antitrust EnforcersThe changes come on the heels of several bruising defeats for the government in blocking vertical mergers.
July 20, 2023
DOL Rule on Abandoned Retirement Plans Arrives at OMBThe rule will likely make it easier to wind down pension plans when the plan fiduciary dies or can't be found.
July 20, 2023
Ponzi Schemer Who Got Trump Clemency Charged in New Fraud CaseEliyahu "Eli" Weinstein and four others were charged with defrauding more than 150 investors of $35 million.
July 20, 2023
IRS Faces Uproar Over Draft Regulations for Client-Owned InsurersThe IRS thinks many are scams. Critics say its proposed response is unworkable.