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.
Leaders Need 'Micro-Knowledge' to Achieve Big Goals
By Jane Wollman Rusoff"Dig in and spend time with your teams," advises Jackson's Scott Golde, Luminaries winner for executive leadership.
May 29, 2024
FINRA Fines Thrivent $325K Over Forged E-SignaturesAt least 15 Thrivent reps electronically signed customer names on over 260 documents since 2017, FINRA says.
May 28, 2024
3 Big Gaps in the DOL's Case for Its New Fiduciary RegsEven with the best data the department can find, many of the potential benefits or harms are unknowable.
May 28, 2024
Social Security Claiming: The Case of the Widowed Late BoomerCarl's wife died with a substantial earnings history. When should he claim his benefits?
May 28, 2024
Fidelity Seeks More Time to Answer Whistleblower SuitFidelity seeks more time to answer a suit alleging it put profits over clients' best interests.
May 28, 2024
How Taxes Will Be Shaped by the 2024 ElectionsSome of the 2017 tax cuts expire next year, and a nasty battle is brewing about renewing them.
May 28, 2024
Wall Street Moves to Fastest Settlement of Trades in a CenturyIt's not the first time Wall Street has undergone such a change, but it could be the most challenging.
May 28, 2024
Ed Slott: Your Clients Have a Big 401(k) Rollover ProblemEmployees leaving companies need more help understanding their options and the tax consequences, Slott tells ThinkAdvisor.