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.
More Than 4M Children Signed Up for Trump Accounts: IRS
By Melanie WaddellTaxpayers can enroll by filling out a one-page form when filing their return, the agency head says.
March 31, 2026
FINRA Ousts Ex-Raymond James Broker Fired Over Handling of Wife's IRAWilliam Steven Cooke's wife alleged he made unauthorized trades and signed her name to move cash.
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.