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.
FTC Bans Worker Non-Compete Rules
By Leah Nylen & Emily BirnbaumExisting non-competes for executives earning over $151,164 a year in a "policy making position" can stay in place.
April 23, 2024
10 States With the Most Income Tax WriteoffsTaxpayers with expenses like mortgage interest can often write off far more than the standard deduction.
April 23, 2024
DOL Releases Final Fiduciary RuleThe new rule fixes ERISA's "shortcomings," says the head of the Employee Benefits Security Administration.
April 22, 2024
FINRA Is Stepping Up Reg BI Actions, Enforcement Chief SaysThe regulator has brought cases on Form CRS, excessive trading and variable annuities, Bill St. Louis says.
April 22, 2024
IRS Slashes Life Insurer Yield BenchmarkThe agency found that those long-term, retirement-oriented investors had portfolio problems.
April 22, 2024
DOL to Release Final Fiduciary Rule Tuesday: ReportActing Labor Secretary Julie Su is set to announce the final regulation at 5 p.m., says the American Retirement Association.
April 18, 2024
Debate: Should Short-Term Health Policies Be Limited to 4 Months?Final regulations shortened the time limit on these plans, which are exempt from some ACA rules.
April 18, 2024
New SEC Risk Alert Points to 5 Marketing Rule Trouble SpotsThe alert lists compliance shortfalls advisors should fix before examiners come knocking.