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.
The 60/40 Glidepath Is Dead for One Simple Reason
By Ric EdelmanFinancial models assuming clients will live to 85 or 90 are at increasing risk of falling short.
September 18, 2024
Bill Could Throw HSA Money to the Dogs (and Cats)Two lawmakers hope to classify some pet care spending as amounts paid for medical care.
September 18, 2024
SEC Hits First Horizon With $325,000 Reg BI FineThe charges relate to First Horizon's recommendations of structured notes after its merger with IberiaBank.
September 17, 2024
30,000 People Died Waiting on Disability Decisions in 2023, SSA Estimates"It remains imperative that we issue decisions faster at every level," Commissioner Martin O'Malley says.
September 17, 2024
SEC Texting Sweep Hits 12 Muni AdvisorsThe advisors agreed to pay more than $1.3 million for failure to preserve off-channel communications.
September 16, 2024
Social Security Claiming: The Case Where Timing Doesn't Matter MuchProjected lifetime benefits can have relatively small differences even when a surviving spouse delays until age 70.
September 16, 2024
IRA Rollover 'Tsunami' Worries Ex-DOL OfficialIRAs lack consumer protections and should be regulated by ERISA, Phyllis Borzi says.
September 16, 2024
Firm Violated Reg BI With Class A Mutual Fund Switches: FINRASecurities Research Inc. of Florida must pay more than $100,000 for not supervising a rep's short-term switches.