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.
401(k) Warning: Don't Confuse 'After-Tax' With Roth
By Robert Bloink and William H. ByrnesWhen a 401(k) account contains both pre- and after-tax dollars, the pro rata rule applies to distributions.
July 01, 2025
Ex-LPL Advisor Suspended After Family Named as Client's BeneficiariesA client designated the advisor's wife as primary beneficiary on six LPL accounts, FINRA says.
June 30, 2025
SEC in Talks to Raise AUM Threshold for Advisor RegistrationDiscussions are happening between the SEC and the states, sources say.
June 30, 2025
The Rise of Human-AI Teams in Life InsuranceAI can elevate consumer trust by making Reg BI possible.
June 27, 2025
9 Key Tax Considerations for NewlywedsClients should consider a number of important tax-related actions as soon as possible after marriage.
June 27, 2025
SEC Denies Requests to Alter More Texting SettlementsPerella Weinberg Partners and Kroll Bond Rating Agency asked the SEC to “equalize” certain settlement undertakings.
June 26, 2025
Debate: Should the Tax Bill Increase the Business Income Deduction?The Senate version of the bill would increase the QBI deduction to 23% and make other changes.
June 26, 2025
Wisconsin 'Advisor' Bought 300 Snowmobiles With Client Money: ProsecutorsStanley Pophal is accused of luring at least 120 investors to buy promissory notes in a $15 million scheme.