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.
It's Time for a Reg BI Crackdown at SEC: Ex-Commissioner
By Melanie WaddellThe rule is falling short of its goal and Form CRS is "bad," former SEC Commissioner Robert Jackson says.
July 24, 2024
741 BDs Opt In to FINRA Home Office InspectionsOpt-ins are highest among large firm and represent 22% of the industry, FINRA says.
July 24, 2024
New RMD Regs Back Annuity-Based Stretch IRAs, Advisor SaysThe tax code shows that SPIAs can offset the loss of the old school stretch IRA, Gary Mettler contends.
July 23, 2024
Trump Floated Jamie Dimon for Treasury Secretary, Then Denies ItThe former president also denied that he was considering BlackRock CEO Larry Fink for the role.
July 23, 2024
Wells Fargo Profiled Customers, Fired Banker AllegesThe bank retaliated, Thomas Davis claims, after he reported that managers wanted prospects assessed by race and appearance.
July 22, 2024
IRS Providing Tax Relief to Hurricane Beryl Victims in TexasTaxpayers in 67 counties now have until Feb. 3 to file various federal individual and business returns.
July 22, 2024
Ed Slott: Final RMD Regs Create an 'Unnecessary Complication'"It's messy for beneficiaries and advisors to try and figure this out," Slott tells ThinkAdvisor.
July 22, 2024
Kitces: 5 Industry Trends Reshaping Financial AdviceThe advice business has reached a generational turning point, the popular blogger says.