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.
CFTC Top Cop Warns Against Insider Trading on Prediction Markets
By Nicola M. WhiteThe multibillion-dollar industry has surged over the past year despite legal challenges.
March 30, 2026
DOL Proposes Adding Variable Annuities to 401(k) Plan Default Option ListA fiduciary would have to show that the benefits from reducing plan participant liquidity justified the impact.
March 30, 2026
Senator Seeks Answers on SEC Enforcement Head's Sudden ResignationSen. Blumenthal asks whether her exit was related to crypto cases, including one touching on the Trump family's ventures.
March 30, 2026
Suspended Broker Who Pretended to Be Trading Whiz Pleads Guilty to FraudKenneth Thom, who promoted himself on social media as "K Money," faces up to five years in prison.
March 30, 2026
SEC Division Overseeing Private Credit Firms Lost 24% of StaffThe SEC's Division of Investment Management lost 24% of its staff during fiscal year 2025.
March 30, 2026
SEC Semiannual Reporting Plan Advances to White House for ReviewSEC Chairman Paul Atkins has recently floated scaling the frequency of corporate disclosures to a firm's size.
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.