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.
Merrill Fined $3M Over 'Deficient' Trade Surveillance
By Melanie WaddellMerrill relied on third-party automated systems that were insufficient to monitor for manipulative trades, FINRA says.
August 29, 2024
Auto-Enrollment Alone Can't Fix Retirement Shortfalls: ResearchAutomatic enrollment and escalation show promise, but a new analysis details their limits.
August 28, 2024
Social Security Funds Will Last Until 2034: CBOThe agency's new annual projection adds one year to Social Security's solvency outlook.
August 28, 2024
Top IAA Lobbyist to RetireNeil Simon will step down at year end, with Gail Bernstein, general counsel, adding public policy direction.
August 28, 2024
Conflicted IRA Advice Widespread as Fiduciaries Lack Oversight, Watchdog FindsThe IRS, tasked with enforcing prohibited transaction rules through excise taxes, lacks an effective way to do so.
August 28, 2024
SEC Retreats From 'Swing Pricing' Mandate for Mutual Funds After Stiff OppositionThe plan would have imposed swing pricing during periods of high redemptions, making it costlier for investors.
August 27, 2024
SEC Charges Firm, CEO With Bilking Hundreds of ClientsThe firm promised guaranteed investment returns and 100% capital protection, the agency says.
August 27, 2024
IRS Issues FAQs on Student Loan Repayment Matching in Retirement PlansThe Secure 2.0 Act permits employers to match student loan repayments through retirement plan contributions.