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.
IRS Clarifies Secure Act's 'One Bad Apple' Workaround for MEPs
By Robert Bloink | William H. ByrnesEmployers that are interested in MEPs should take note of the new requirements that will likely apply.
March 30, 2022
Biden Hopes to Tax Some Indemnity Health BenefitsGross income could include the gap between a medical expense and the benefit payment amount.
March 30, 2022
Bill That Could Boost Lifetime Annuity Use Sails Through HouseH.R. 2954 would also help life insurers put ETFs on variable annuity fund menus.
March 30, 2022
12b-1 Fees in Wrap Accounts Are an SEC Exam Priority in 2022Also on the 2022 priority list are other revenue sharing arrangements and advisor conflict-of-interest policies.
March 30, 2022
Generation-Skipping Transfer Exemption Could Lose SuperpowersThe Biden administration wants to limit how long it can shield assets from taxes.
March 29, 2022
Why C-Suite Execs Should Not Serve as Retirement Plan FiduciariesFirms and their clients won't be served well if fiduciary duties are dumped on managers with full day jobs.
March 29, 2022
House Panel to Consider Bill That Might Make Hot Annuities HotterH.R. 4865 could cut the cost of offering registered index-linked annuities.
March 28, 2022
UBS Must Pay Clients $1.2MSome other disputes over its yield options strategy, though, were decided in its favor over the past few years.