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

January 08, 2025

Early IRA and 401(k) Withdrawals: What to Know
Edward Jones to Pay $17M Over Front-Load Commissions

January 08, 2025

Edward Jones to Pay $17M Over Front-Load Commissions
Social Security ‘Fairness’ Doesn’t Come for Free

January 08, 2025

Social Security ‘Fairness’ Doesn’t Come for Free
FSI Names Board of Directors and Executive Committee

January 08, 2025

FSI Names Board of Directors and Executive Committee
How the Social Security Fairness Act Affects Claiming Strategies

January 08, 2025

How the Social Security Fairness Act Affects Claiming Strategies
TD Mulling Fate of Schwab Stake in Review, Incoming CEO Says

January 07, 2025

TD Mulling Fate of Schwab Stake in Review, Incoming CEO Says
Why the AMT Could Come Roaring Back

January 07, 2025

Why the AMT Could Come Roaring Back