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.
Expect Secure 3.0 and a Major Tax Bill Next Year
By Melanie WaddellTax cuts will likely be fast-tracked in 2025 as Secure 3.0 takes shape, a former DOL official says.
November 19, 2024
FINRA Fines CUNA Brokerage Services Over Deleted Rollover RecordsThe BD inadvertently deleted 14,000 records, violating Reg BI, FINRA says.
November 19, 2024
IRS to Drop Interest Rates in JanuaryFor individuals, the rate for overpayments and underpayments will be 7% per year, compounded daily.
November 18, 2024
DOL Seeks More Data to Launch Retirement Savings Lost and Found DatabaseLabor wants to make the database live by Dec. 29.
November 18, 2024
GOP Senator Calls for Rulemaking Halt Until Trump Takes OfficeA flurry of activity at the SEC and other agencies is more likely, a compliance consultant says.
November 15, 2024
On Taxes and Retirement, Here's What Could Change in 2025Tax reform, new regulatory priorities and guidance under Secure 2.0 are some of what's ahead.
November 15, 2024
Trump Taps His Ex-SEC Chair Jay Clayton as U.S. Attorney for ManhattanThe role, often dubbed the Sheriff of Wall Street, is famous for tackling complex and high-profile cases.
November 14, 2024
Gensler Makes Final Pitch on SEC Crypto RulesThe Trump administration won’t share his view of the digital asset industry.