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.
Early IRA and 401(k) Withdrawals: What to Know
By Robert Bloink and William H. ByrnesClients who wants to tap retirement accounts before age 59.5 should know the rules — and the exceptions.
January 08, 2025
FSI Names Board of Directors and Executive CommitteeThe advocacy group's board added four new members and elected five prior directors to leadership roles.
January 08, 2025
How the Social Security Fairness Act Affects Claiming StrategiesSome clients who never filed for benefits now have a strong incentive to do so, Joe Elsasser says.
January 07, 2025
TD Mulling Fate of Schwab Stake in Review, Incoming CEO SaysThe review stems from the Canadian bank's U.S. money-laundering scandal.
January 07, 2025
Why the AMT Could Come Roaring BackMore families and small businesses will have to do taxes twice if the 2017 cuts expire, a GOP congressman warns.
January 03, 2025
Whipsaw BOI Rulings Leave Business Owners DizzyMost American business owners were to become subject to a Jan. 1 deadline to submit beneficial ownership information reports.
January 03, 2025
JP Morgan Loses $39.7M Arbitration Against Barred BrokerThe financial services firm claimed that Edward Turley, a former advisor, "unjustly enriched himself by brazenly lying."
January 03, 2025
Trump Taps Keis, Schwab for Key Treasury RolesLobbyist Ken Kies will head up tax policy; Samantha Schwab will be deputy chief of staff.