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.
SEC Commissioner Lee to Step Down
By Melanie WaddellAllison Herren Lee, whose term expires in June, will step down when a successor is confirmed.
March 11, 2022
IRS' Secure Act Guidance on RMDs Has a Surprise TwistThe IRS has released long-awaited proposed regulations on inherited IRAs.
March 11, 2022
Behind Allianz's $4B Fund Blowup, Red Flags and Fat FeesAllianz, which also owns Pimco, has resolved some legal woes but continues to pick up the pieces.
March 11, 2022
FINRA's Top 5 Fine Categories in 2021Fines in 2021 saw a "dramatic bump," driven by a record-setting fine.
March 10, 2022
Sen. Warren Presses FINRA's Cook on Wells Fargo Arb RulingWarren and Rep. Katie Porter, D-Calif., say Cook failed to answer earlier questions about FINRA's handling of the case.
March 10, 2022
Congress to DOL: Design Retirement Plans for Gig Workers!Lawmakers want the Labor Department to develop new benefit program ideas aimed at gig workers.
March 10, 2022
DOL Warns About Use of Crypto in 401(k)s, Releases GuidanceThe department has serious concerns about exposing plan participants to direct investment in cryptocurrencies.
March 09, 2022
House Version of Must-Pass Spending Package Includes Retirement Plan Lab ProvisionThe giant bill could also affect the Libor shift and keep the emergency Medicare telehealth rules in place.