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.
Here's How Much Fixing Social Security Could Cost Your Clients
By John ManganaroAffluent couples could lose nearly $1 million in benefits if Congress doesn't act, Ron Mastrogiovanni warns.
September 26, 2024
Fired BNY Advisor Claims Age DiscriminationThe advisor says a manager made ageist remarks and dismissed him despite his consistently strong performance.
September 26, 2024
Ex-Advisor Sues LPL, Citizens Bank & Trust Over Botched TransitionNathan Adams was punished for pursuing a job with LPL, which botched a background check, the complaint alleges.
September 26, 2024
Sen. Warren Lists 29 Life, Health and Annuity Sales IncentivesShe doesn't like the incentives, but you might.
September 25, 2024
Mystified by the Social Security Administration? Here's an Inside LookFrom headlines about the Social Security program's funding to questions about disability benefit delays, there's much to unpack.
September 25, 2024
How New IRS Annuity Rules Could Cause ConfusionAn insurer group worries about how RMDs will change for people who annuitize just some of their assets.
September 25, 2024
The Tax Cuts and Jobs Act Could SunsetMaybe you know that. Do your clients know that?
September 24, 2024
Barred Advisor Gets 21 Months in Prison for Cherry-PickingJonathan Glenn's unfair allocations of profitable trades defrauded clients of more than $2.7 million, authorities say.