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.
Ed Slott: Advisors Should Take Note of IRS Ruling on Missing 401(k) Participants
By Melanie WaddellThe IRS guidance addresses retirement plan participants "who are due a benefit but cannot be located," Slott says.
November 02, 2020
FINRA: Ex-BofA Analyst Charged 'Adult Entertainment' on Corporate CardThe analyst charged about $21,000 at an "adult venue," FINRA says.
November 02, 2020
SEC Enforcement Actions Down 17% in 2020But financial remedies ordered set a new high, according to the agency's enforcement chief.
October 30, 2020
Should Compliance Officers Be Held Personally Liable? SEC's Peirce Weighs InToo much liability could discourage talented people from working in compliance, the SEC commissioner says.
October 29, 2020
SEC Doles Out New Whistleblower Award, as Advocates Fret Over Rule ChangesOverall, the program awarded more than $175 million to 39 whistleblowers in the fiscal year that ended Sept. 30.
October 29, 2020
FINRA Limits Brokers' Ability to Serve as BeneficiariesA new rule requires firms' approval for brokers serving in positions of trust, such as beneficiary or executor, for clients.
October 28, 2020
SEC Issues Warning on Complex Investment ProductsExpanded access to self-directed accounts and complex investment products may require tighter controls, SEC officials said.
October 27, 2020
IRS Announces Income Tax Adjustments for 2021The estate and gift tax exemptions saw the biggest increases, says Ed Slott.