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.
Why RIA Advisors Are Better Fund Pickers Than BD Reps: Study
By Ginger SzalaDual registrants act more like BD advisors when selecting funds, mainly basing decisions on past performance, David Blanchett says.
April 26, 2022
Lael Brainard Wins Senate Confirmation to Be Fed Vice ChairShe had been considered by President Joe Biden for the Fed's top job before he chose to keep Jay Powell in that post.
April 26, 2022
Elon Musk's Untaxed Wealth Is Helping to Finance His Twitter BuyoutHe is borrowing against his highly appreciated Tesla shares to get cash without having to sell and pay taxes.
April 26, 2022
DOL Has 'Grave Concerns' With Fidelity's Bitcoin 401(k) Move: WSJCybersecurity consultant John Reed Stark, financial planner Jeff Levine and Morningstar's Christine Benz also aired concerns about the move.
April 26, 2022
Biden's Key DOL Pick Could Get Senate Vote This WeekLisa Gomez's nomination to lead retirement plan oversight could come up for a vote on the Senate floor as early as Tuesday.
April 25, 2022
This Overlooked Strategy Helps Early Retirees Avoid IRA Withdrawal PenaltiesSEPPs can provide needed income before age 59 1/2, but advisors must consider the details carefully.
April 22, 2022
Here's How the IRS Can Monitor Clients' Offshore Life, Annuity ArrangementsThe GAO now has a list of tax forms and other data sources to help government agencies track the use of offshore life insurance arrangements.
April 22, 2022
What Biden's Crypto Order Means for AdvisorsThe number of advisors who've personally invested in the new asset class nearly doubled in 2021 to 47%, according to a Bitwise/ETF Trends poll.