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.
2 Big IRA Rollover Mistakes to Avoid: Ed Slott
By John ManganaroDirect transfers from account to account help clients skip mandatory withholding, the retirement expert says.
July 31, 2024
Firm Violated Reg BI With Risky Options Strategy: SECWestern International Securities was fined $140,000 for letting a former rep day trade options in clients' accounts.
July 30, 2024
Ameriprise and Wells Fargo Sued Over Low Interest on Client CashThe lawsuits follow similar client complaints against LPL Financial and Morgan Stanley.
July 30, 2024
What the New Emergency Retirement-Distribution Draft Guidance Means for AnnuitiesThe latest IRS draft guidelines includes two new ways for clients to tap their nest eggs under the Secure 2.0 Act.
July 29, 2024
SEC Hits Firm With $85K Reg BI FineLifeMark Securities and a registered rep must each pay fines and return some funds to a semi-retired client.
July 29, 2024
Second Court Halts New Fiduciary Rule, as DOL Hits BackAnother court in Texas has issued a decision to halt the rule's Sept. 23 implementation date.
July 29, 2024
Trump Pledges to Fire Gensler, Hire People Who 'Love' CryptoThe politician said he would fire the SEC chair and pick crypto-friendly regulators if he returns to the White House.
July 26, 2024
DOL Fiduciary Rule Halted by Texas CourtThe delay of the Sept. 23 effective date kicks off a "long litigation journey," an ERISA lawyer says.