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.
Senators Probe Social Security Administration's AI Use
By Melanie WaddellThe Finance Committee is exploring how the agency is ensuring that its systems "are being deployed responsibly."
August 06, 2024
Morgan Stanley Says SEC Seeks Info On Cash Balance SweepsThe wirehouse has been speaking with the SEC and responding to its requests since April, it disclosed Monday.
August 05, 2024
Social Security Claiming: The Case of the Pension OffsetIn this case study, the wife must contend with two Social Security rules that hit some retirees with pensions.
August 05, 2024
'As an Industry, We Can Do Better' for Clients, RIA Says"Wall Street uses tricks to fool customers," Merrill advisor turned RIA Christopher Manske says.
August 02, 2024
As SEC Onsite Exams Hit Fever Pitch, Here's What RIAs Need to KnowTo prepare, firms should review their compliance programs and conduct mock SEC interviews with key staff.
August 01, 2024
Bill to Expand 403(b) Plan Menus With CITs Lands in SenateThe legislation mirrors popular parts of a broader House bill that passed the lower chamber in March.
August 01, 2024
Dropbox Co-Founder Claims JPMorgan Advisor Cost Him Over $225MArash Ferdowsi alleges that he was steered to unsuitable investments rather than index funds.
August 01, 2024
2 Big IRA Rollover Mistakes to Avoid: Ed SlottDirect transfers from account to account help clients skip mandatory withholding, the retirement expert says.