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.
How New IRS Annuity Rules Could Cause Confusion
By Allison BellAn insurer group worries about how RMDs will change for people who annuitize just some of their assets.
September 24, 2024
Texting Crackdown a 'Cash Cow' for the SEC: Commissioner PeirceAt a congressional hearing, Peirce said the agency should be taking a regulatory approach instead of levying fines.
September 24, 2024
What RIAs Should Know About Data-Based MarketingAsset managers and investment banks use data-driven marketing to great effect. Experts say RIAs can do the same.
September 24, 2024
SEC Hits Stifel, Others With $88M in Texting FinesStifel and Invesco will each pay $35 million over off-channel communications.
September 23, 2024
JPMorgan Sued Over 'Shockingly' Low Interest on Client CashThe case follows several other proposed class actions over brokerages' cash sweep programs.
September 23, 2024
Debate: Should COVID-Era Health Insurance Subsidies Be Extended?After 2025, the expansion of the premium tax credit will expire unless Congress acts.
September 23, 2024
DOL Appeals Two Rulings Halting Fiduciary RuleTwo federal court decisions temporarily stopped the rule from taking effect.
September 20, 2024
SEC Fines Firm for Not Inspecting AdvisorsJordan/Zalaznick Advisers failed to spot-check the books and records or conduct inspections of advisors it supervised.