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.
IRS Direct File to Cover More States and Tax Situations
By Melanie WaddellFor the 2025 tax season, the number of states will double, and Direct File will support retirement income.
October 02, 2024
TD Securities to Pay $28.5M to Resolve Spoofing AllegationsThe charges concern tens of billions of dollars in fraudulent trades of Treasurys, authorties said.
October 01, 2024
COVID-19 Creeps Toward Life Insurance Tax AccountingFor life insurance purposes, actuaries are assuming that the picture for some could still be gray.
October 01, 2024
Schwab Nears Settlement in Antitrust Suit Over TD Ameritrade DealParties in the lawsuit told a judge they've reached a "settlement in principle."
October 01, 2024
Here's How Much Fixing Social Security Could Cost Your ClientsAffluent couples could lose nearly $1 million in benefits if Congress doesn't act, Ron Mastrogiovanni warns.
September 30, 2024
Pre-Retirees and Retirees Prioritize Charitable Giving: SurveyRetirees tend to donate first, then volunteer, while pre-retirees do both in equal measure, Fidelity Charitable found.
September 27, 2024
Benchmarking Costs Climb as Regulators Demand More DisclosureThe SEC's marketing rule demands clear and relevant benchmarks when performance is advertised.