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.
SEC Expands Texting Crackdown to Big Ratings Agencies
By Melanie WaddellMoody's, Fitch and four other firms agreed to pay combined penalties of more than $49 million over off-channel communications.
September 03, 2024
NAIFA to Lobby Against Medicare Plan Commission CutsThe advisor group's CEO says comp decisions will hurt beneficiaries' access to assistance.
August 30, 2024
Beware Roth 401(k) Matches' Tax Consequences: Jamie HopkinsIndividuals could face a surprise income tax bill by not realizing that the company wasn't withholding taxes.
August 30, 2024
Merrill Fined $3M Over 'Deficient' Trade SurveillanceMerrill relied on third-party automated systems that were insufficient to monitor for manipulative trades, FINRA says.
August 30, 2024
Sen. Warren Presses FINRA to Explain Enforcement DeclineThe number of enforcement actions last year was the lowest in the regulator's history.
August 29, 2024
Ed Slott: IRS' Cure for Conflicts Could 'Wipe Out' IRAsThe enforcement mechanism against prohibited transactions is excise taxes, which can hurt clients, Slott says.
August 29, 2024
Auto-Enrollment Alone Can't Fix Retirement Shortfalls: ResearchAutomatic enrollment and escalation show promise, but a new analysis details their limits.
August 28, 2024
Social Security Funds Will Last Until 2034: CBOThe agency's new annual projection adds one year to Social Security's solvency outlook.