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.
Human Capital: Ed Slott Tackles Thorniest Secure Act Provisions
By Melanie Waddell Melanie WaddellIn episode #8 of our Human Capital podcast, Slott jumps into the stretch IRA changes, and why the law sets up an "emergency estate planning revision."
February 05, 2020
IRS Needs a Major Tech Overhaul, Groups SayTax professionals have some suggestions for the IRS' upcoming reorganization.
February 04, 2020
CFP Board Elects 2 DirectorsOne was the first female SEC commissioner; the other is a chief of financial crimes compliance.
February 04, 2020
3 Areas Regulators Are Targeting Now, According to LawyersReg BI enforcement, a sweep of 403(b) sales to teachers, and regs to implement the Secure Act take center stage this year.
February 03, 2020
Ex-Northwestern Mutual Rep Suspended for Not Disclosing Child Sex Abuse ChargesThe former broker was charged with three felonies in Michigan, FINRA says.
February 03, 2020
Opposition to SEC Proxy Proposals GrowsThe latest indications of opposition include a petition signed by over 18,000 individuals and a protest outside SEC headquarters.
February 03, 2020
FINRA Fines Wells Fargo Over Rep Who Churned in Elderly Client's AccountsWells Fargo didn't respond appropriately to red flags on the 88-year-old's account, FINRA says.
February 03, 2020
IRS Offers Older Taxpayers a Senior-Friendly Form 1040Form 1040-SR is easier to read and allows income reporting from sources common to seniors.