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-Schwab Financial Consultant Claims Age Discrimination
By Melanie WaddellThe investment consultant also alleges he was forced to resign and given a negative mark on his Form U5.
June 12, 2025
Vanguard Seeks SEC Approval to Expand Tax-Busting Fund DesignVanguard aims to use its signature dual-share class design with actively managed funds.
June 11, 2025
IRAs Could Soon Help Pay for Long-Term Care InsuranceLife insurers want the IRS to issue the regs they need to implement a Secure 2.0 provision.
June 11, 2025
Group Fears IRS Could Change the Time When Annuities Are TaxedThe Committee of Annuity Insurers has a bad feeling about an item on the agency's to-do list.
June 11, 2025
FINRA Seeks to Allow Challenges to Suspensions, BarsThe rule change would let reps and BDs request relief from the SEC at FINRA's discretion.
June 10, 2025
Fired Edward Jones Advisor Wins a Cleanup of His RecordThe explanation for Matthew Hawk's dismissal on his Form U-5 was defamatory, a FINRA arbitrator ruled.
June 10, 2025
SEC Investment Management Director to Step DownNatasha Vij Greiner will depart after 23 years at the agency.
June 09, 2025
Reject an Inheritance? Not Always a Bad IdeaIn certain cases, this strategy can reduce the share of the estate lost to taxes or court judgments.