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Regulation

New rules for funds and managers, disclosure and ESG requirements, tax and legal changes, and enforcement actions affecting how investment products are structured and marketed.
GAO urges consideration of spousal consent for 401(k) withdrawals

GAO urges consideration of spousal consent for 401(k) withdrawals

A GAO review found married participants sometimes withdrew 401(k) funds without spouses’ knowledge, causing hardships, and recommends Congress weigh spousal-consent rules.

may 5 3 min read
Advisers, CPAs push small firms to claim 401(k) tax credit

Advisers, CPAs push small firms to claim 401(k) tax credit

may 4 3 min read
Court affirms .3M FINRA award against UBS

Court affirms $95.3M FINRA award against UBS

may 4 2 min read