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.
PNC to Pay $200,000 for Lax Annuity Exchange Monitoring
By Melanie WaddellThe firm failed to monitor reps’ rates of deferred variable annuity exchanges, FINRA said.
June 13, 2025
SEC Shreds Plans for 14 Major RulesThe list includes controversial proposals aimed at RIAs.
June 12, 2025
How to Avoid RMD Mistakes Around Roth ConversionsRMDs and Roth conversions are both taxable as ordinary income, but that doesn't mean they're interchangeable.
June 12, 2025
New York Tax Preparer Charged in $50M Fraud SchemeMiles Burton Marshall, arrested Monday, allegedly stole from nearly 1,000 investors in a decades-long scam.
June 12, 2025
Ex-Schwab Financial Consultant Claims Age DiscriminationThe investment consultant also alleges he was forced to resign and given a negative mark on his Form U5.
June 12, 2025
7 Tax Developments to Watch ForThe outlook for 2026 and beyond remains uncertain as the tax bill debate rages on.
June 12, 2025
Treasury Weighs Rules That May End Colleges’ Tax Status Over Race PoliciesPrivate, nonprofit schools would no longer be tax exempt if they favor any racial groups in financial aid.
June 12, 2025
Vanguard Seeks SEC Approval to Expand Tax-Busting Fund DesignVanguard aims to use its signature dual-share class design with actively managed funds.