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.
3 Big Gaps in the DOL's Case for Its New Fiduciary Regs
By Allison BellEven with the best data the department can find, many of the potential benefits or harms are unknowable.
May 28, 2024
How Taxes Will Be Shaped by the 2024 ElectionsSome of the 2017 tax cuts expire next year, and a nasty battle is brewing about renewing them.
May 28, 2024
Wall Street Moves to Fastest Settlement of Trades in a CenturyIt's not the first time Wall Street has undergone such a change, but it could be the most challenging.
May 28, 2024
Ed Slott: Your Clients Have a Big 401(k) Rollover ProblemEmployees leaving companies need more help understanding their options and the tax consequences, Slott tells ThinkAdvisor.
May 24, 2024
9 Groups File New Suit Challenging DOL Fiduciary Rule RegsThe ACLI, IRI and other plaintiffs have accused officials of failing to analyze the changes' potential impact properly.
May 24, 2024
JPMorgan to Pay Another $100M for Failing to Monitor OrdersThe bank failed to monitor billions of client orders between 2014 and 2021, the CFTC says.
May 24, 2024
How BNY Mellon's Pershing Prepped for T+1Claire Santaniello details the preparation for the tighter settlement cycle and flags other new rules taking hold.
May 24, 2024
How to Avoid the No. 1 Value Killer in Retirement PortfoliosPoor tax management can cost clients big time, Barrett Ayers of Adhesion Wealth says. Here's what he recommends.