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.
Suspended Broker Who Pretended to Be Trading Whiz Pleads Guilty to Fraud
By Melanie WaddellKenneth Thom, who promoted himself on social media as "K Money," faces up to five years in prison.
March 30, 2026
DOL Releases Plan for Alts in 401(k)sLabor has outlined steps 401(k) plan managers can take when considering alternative assets in investment lineups.
March 27, 2026
Morgan Stanley Gets FINRA Waiver From Disqualification After $15M SEC SettlementThe regulator approved the firm's request to remain an industry member; LPL received a waiver in January.
March 27, 2026
'Dirty Dozen' Tax Scams of 2026: IRSTaxpayers should be on the lookout for these new and emerging schemes, according to the agency.
March 26, 2026
BD to Pay $600K Over Unapproved MessagingBTGI failed to reasonably supervise employees' use of unapproved communications platforms for business purposes, FINRA states.
March 25, 2026
DOL's Plan for Alts in 401(k)s Clears OMBThe exact contents of the proposal will be unclear until Labor releases the rule.
March 25, 2026
Court Refuses to Vacate $133M Arbitration Award Against StifelThe FINRA award was tied to former financial advisor Chuck Roberts.
March 25, 2026
Franklin Templeton Debuts ETFs That Trade in Crypto Wallets 24/7The initiative is aimed at a growing class of investors who have no interaction with traditional brokerages.