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.
Life and Annuity Issuers Could Help Break the Banks: Economists
By Allison BellA working paper details potential problems at mutual funds, pension plans and broker-dealers, as well as insurers.
April 15, 2024
Don't Finalize Fiduciary Rule Now, Groups Urge DOLA supporter of the rule called their request "the last refuge of a desperate group of industry opponents."
April 15, 2024
Pass Rate and Turnout Grow for CFP ExamThe March 2024 test was administered to 3,683 candidates, breaking the record set a year ago.
April 15, 2024
7 Last-Minute Reminders for Tax Day 2024The IRS and tax experts have released some important notes to keep in mind as returns are processed.
April 12, 2024
Here's What's Wrong With the 4% RuleFor investors who prefer a formulaic approach to retirement withdrawals, there's a better option.
April 12, 2024
SEC Hits 5 RIAs With Marketing Rule FinesThe firms have agreed to pay $200,000 in combined penalties over their use of hypothetical performance in ads.
April 11, 2024
Morgan Stanley Wealth Unit Being Probed by Regulators: ReportSeveral agencies want to know if the bank has done enough to prevent money laundering by its wealthy clients.
April 11, 2024
Fiduciary Rule Meetings Disappointed Agent GroupsAnalysts appear to be rubber-stamping the draft, the National Association of Insurance and Financial Advisors said.