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.
UBS Accuses Ex-Advisor of 'Brazen' Attempts to Take Clients
By Dinah Wisenberg BrinDouglas Frew denies allegations he went to one client's home and called another 10 times.
October 07, 2024
Top DOL Official Sees a 'Nonsensical' Reality at Heart of Fiduciary FightThe current state of best-interest regulation is too complicated for retirement investors to understand, says Ali Khawar.
October 07, 2024
Millions of Americans Dodging Taxes on Early Retirement WithdrawalsNearly 3 million taxpayers who received $12.9 billion failed to pay the extra 10% tax, a report finds.
October 04, 2024
Rep Forged Signatures on Hundreds of Insurance Documents: FINRAThese documents included insurance applications, money movement forms, change of beneficiary requests and policy service requests.
October 03, 2024
IRS Direct File to Cover More States and Tax SituationsFor the 2025 tax season, the number of states will double, and Direct File will support retirement income.
October 03, 2024
Thrivent Takes Reg BI Hit Over Outdated Share Class CalculatorThe firm recommended pricier shares in two 529 plans after failing to account for a fee change, regulators said.
October 02, 2024
Protective Life CEO to Chair American Council of Life Insurers BoardRich Bielen will be 2025 chair; Thrivent's CEO will be the policy-shaping group's chair-elect.
