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.
Financial Influencer 'K Money' Gets Two Years in Jail for Fraud
By Chris DolmetschKenneth Thom, a suspended broker who reinvented himself as a "finfluencer," defrauded investors out of hundreds of thousands of dollars.
August 11, 2026
IRS Releases Trump Account Guidance for Employer ContributionsThe agency and Treasury Department are seeking comments until Sept. 25, with a public hearing set for Oct. 15.
August 11, 2026
American College Introduces DAF Designation ProgramThe inaugural Donor-Advised Fund Certified Professional coursework begins Sept. 1.
August 11, 2026
Ex-NY Life Rep Falsified Annuity Applications: FINRAQi Hua Yang was fined and suspended for providing false account numbers as funding sources, according to the regulator.
August 10, 2026
For Advisors, It's as Simple as 'Grow or Retire'Financial professionals must plan their next steps or risk stagnation, Silver Oak Securities CEO Billy Hopkins says.
August 10, 2026
The Endless Wells Notice Limbo: SEC RoundupA Wells notice is meant to signal the end of an SEC investigation. Many companies instead land in a holding pattern.
August 10, 2026
NASAA Shortens Waiting Period for IAR Test TakingAfter their third unsuccessful attempt at the Series 63, 65 or 66, candidates could retest within 60 days.
August 10, 2026
Stifel Forks Over $3.6M to Settle More Claims Tied to Barred BrokerTwo additional settlements were paid in July in the ongoing Chuck Roberts dispute.