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.
Millions of Americans Dodging Taxes on Early Retirement Withdrawals
By Melanie WaddellNearly 3 million taxpayers who received $12.9 billion failed to pay the extra 10% tax, a report finds.
October 03, 2024
Thrivent Takes Reg BI Hit Over Outdated Share Class CalculatorThe firm recommended pricier shares in two 529 plans after failing to account for a fee change, regulators said.
October 02, 2024
Protective Life CEO to Chair American Council of Life Insurers BoardRich Bielen will be 2025 chair; Thrivent's CEO will be the policy-shaping group's chair-elect.
October 02, 2024
TD Securities to Pay $28.5M to Resolve Spoofing AllegationsThe charges concern tens of billions of dollars in fraudulent trades of Treasurys, authorties said.
October 01, 2024
COVID-19 Creeps Toward Life Insurance Tax AccountingFor life insurance purposes, actuaries are assuming that the picture for some could still be gray.
October 01, 2024
Schwab Nears Settlement in Antitrust Suit Over TD Ameritrade DealParties in the lawsuit told a judge they've reached a "settlement in principle."
October 01, 2024
Here's How Much Fixing Social Security Could Cost Your ClientsAffluent couples could lose nearly $1 million in benefits if Congress doesn't act, Ron Mastrogiovanni warns.