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.
Ex-WWE CEO Vince McMahon to Settle SEC Case for $1.7M
By Nicola M. WhiteMcMahon hid hush-money settlements he negotiated, leading to incorrect financial statements, the SEC says.
January 08, 2025
Early IRA and 401(k) Withdrawals: What to KnowClients who wants to tap retirement accounts before age 59.5 should know the rules — and the exceptions.
January 08, 2025
Edward Jones to Pay $17M Over Front-Load CommissionsThe firm charged some clients when moving A shares from brokerage to advisory accounts, 14 state regulators found.
January 08, 2025
Social Security ‘Fairness’ Doesn’t Come for FreeThe new law will cost almost $200 billion over a decade and hasten insolvency, Olivia Mitchell says.
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.