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.
IRS Raises 401(k), IRA Contribution Limits for 2019
By Marlene SatterThe IRA and Roth IRA contribution limit will be raised for the first time since 2013.
October 31, 2018
SEC Proposes Long-Awaited Variable Annuity Summary ProspectusThe plan would allow these contracts to use a summary prospectus to provide disclosures to investors.
October 30, 2018
SEC Best-Interest Proposals Generating Less Advisor Awareness Than DOL Fiduciary Rule Did: SurveyThe Labor rule may be defunct, but all that prep work isn't lost, advisors said in a Fidelity survey.
October 30, 2018
FINRA Fines LPL $2.75M Over Complaint Reporting, AML IssuesFINRA says the independent broker-dealer took too narrow an interpretation of which customer complaints needed to be reported.
October 29, 2018
4 Reasons the Advisor Compliance Landscape Is So ComplexFormer SEC official John Walsh talks about uncertainties around fee compression, 12b-1 fees and the broker protocol at Schwab Impact.
October 26, 2018
DOL, SEC Flexing Enforcement Muscle Under TrumpThe two regulators are leveraging enforcement initiatives at a historic level of tenacity.
October 26, 2018
Wall Street Giants Fight Over Who Helps Small Investors MostFirst discussion from SEC roundtable brings fireworks from both sides.
October 26, 2018
FINRA Expands Wells Notice Against Ex-Morgan Stanley Advisor Ami Forte: EnforcementAlso, a former State Street Corp. executive was sentenced to prison for defrauding customers.