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.
Ed Slott: 529-to-Roth IRA Rollover Is No Planning Panacea
By Melanie Waddell"I think advisors got the wrong idea" about this Secure 2.0 Act provision, Slott tells ThinkAdvisor.
January 27, 2023
401(k) Income Solutions Threaten IRA Rollovers"In-plan" income solutions could go mainstream sooner than you think, Raymond James' Don MacQuattie tells ThinkAdvisor.
January 26, 2023
Schwab Criticizes NYSE Over System Failure That Roiled TradingStocks for hundreds of companies were affected, and trades were canceled after the wild market swings early Tuesday.
January 26, 2023
NYSE Mayhem Traced to Staffer 700 Miles AwayBehind closed doors, NYSE executives are grappling with both the potential cost and the impact on the exchange's reputation.
January 26, 2023
Succession Planning Is Not Just for Retirement: FINRA ExecsCall it a succession plan, legacy plan or something else, but firms need to be better prepared for the future.
January 26, 2023
Morgan Stanley Fines Some Staff $1M Over Messaging BreachesIndividual penalties are based on factors like seniority, the number of messages sent and any prior warnings.
January 26, 2023
FINRA Asks Members to Check RILA DisclosuresExaminers will also review marketing to customers who already own variable annuities.
January 26, 2023
Vestmark Adds 6 New SMA Strategies: Tech RoundupAlso, Financial Services Institute teams with Broadridge to introduce free Form CRS Video Guide for FSI members.