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.
SEC Bars Ex-Wells Fargo Advisor in Prison for Fraud
By Melanie WaddellKenneth A. Welsh, accused of stealing nearly $3 million from clients, was sentenced last July to 3.6 years.
February 11, 2026
SEC Working on Off-Channel Communications, E-Delivery Rules: AtkinsThe SEC chairman testified Wednesday before the House Financial Services Committee.
February 10, 2026
Altruist Adds Tax Planning Tools Within AI Platform HazelJason Wenk, founder and CEO of Altruist, said Hazel's features redefine what tax planning means for advisors.
February 10, 2026
Wells Fargo to Lay Off 112 in North CarolinaThe cuts in Raleigh will be effective on April 4.
February 10, 2026
Your Clients Have Probably Heard This Risky Tax PitchA tax return's acceptance doesn't mean that a giant future tax bill isn't coming — with interest and penalties.
February 10, 2026
BofA Rep Fired for Expensing $6,000 in Meals Takes FINRA HitThe rep, suspended for nine months, charged BofA for food while working from home, FINRA states.
February 10, 2026
House Passes Bill That Could Help Annuity Issuers Fend Off FedA key financial stability council would have to listen to an insurer before changing its regulator.
February 09, 2026
$133M Award Against Stifel Should Stand, Judge SaysThe magistrate judge's opinion addresses a FINRA arbitration award tied to a barred advisor.