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.
Ed Slott: Why a Lump Sum Beats an IRA Rollover for Some Clients
By Melanie WaddellIt's a special case that's more common than ever, Slott tells Morningstar's Christine Benz.
July 16, 2024
Ex-Broker Charged With Bank Robbery Released on BondScott Tunis admitted to robbing a bank with a fake bomb after his 2022 arrest, records show.
July 16, 2024
New DOL Fiduciary Rule Defies Court Ruling, Insurance Groups ArgueLabor Department officials exaggerate how much authority ERISA gives them, the groups say.
July 15, 2024
SEC Bars Advisor for 20-Year, $24M Ponzi SchemePaul Horton Smith told clients they were investing in an annuity or real estate, the SEC said.
July 15, 2024
Election Presents a 'Behavioral Trap' for InvestorsThinkAdvisor spoke with Morningstar's Daniel Noonan about how advisors should counsel clients as the election nears.
July 12, 2024
DOL Fiduciary Rule Mania: What's Happening and Where It's HeadedLawmakers and opponents of the rule are piling on, but lawyers urge advisors to keep pace with compliance.
July 10, 2024
Lawmakers Advance Two Measures to Kill DOL Fiduciary RuleA resolution of disapproval and a spending bill blocking the rule now move to the full House.
July 10, 2024
How to Avoid Excess IRA Contribution PenaltiesWithdrawing the excess may seem like a simple fix, but many clients are faced with more complicated scenarios.