The $614 billion asset manager is applying a full-court press to take advantage of an expired Vanguard patent.
The Investment Adviser Association reveals the results of its 2023 Investment Management Compliance Testing Survey.
A U.S. District Court judge pushes back against the SEC's attempt to regulate Ripple XRP token.
Joseph Michael Todd of Florida stole at least $3 million from 20 customers, according to the regulator.
Arizona-based Arque Capital Ltd. sold bonds issued by bankrupt GWG Holdings Inc.
The SEC, the CFTC and the FTC also filed lawsuits against Alex Mashinsky and his crypto lending company.
The House Financial Services Committee heard testimony on 18 bills that would curtail SEC efforts or otherwise restrict ESG considerations.
The proposed rule would require certain brokerages to compute the net cash they owe customers and other B-Ds on a daily, rather than weekly, basis.
The regulator won't require 'swing pricing' for money funds after fierce pushback from the industry.
The SEC is due to finalize its rules Wednesday with Wall Street now expecting a victory on a key component.
The settlement sends an uncomfortable message to retirement plan advisors and other fiduciaries, an observer says.
The firm was also ordered to return $8.25 million to retail customers.
According to the SEC and Finra, for years Merrill botched the reporting threshold for potential suspicious transactions.
The bureau will keep $90 million, with the rest going to consumers, Office of the Comptroller of the Currency.
The Labor Department's advice rule is likely to lead to controversy over whether a recommendation to roll funds from a 401(k) to an IRA constitutes advice.
The Alabama Securities Commission issues a cease-and-desist against two men who scammed 88 victims out of more than $22.5 million.
The parent of failed Silicon Valley Bank is chasing cash held by the regulator.
The SEC is working on proposed rules related to artificial intelligence and other technologies, and Senate Majority Leader Chuck Schumer has announced a framework for AI legislation.
The regulator alleges unauthorized trading for recommending inappropriate investments forbenefits including $50,000 of a minor child whose parent died on active duty.
House Republicans have planned six hearings in their anti-ESG blitz, along with bill markups dedicated to the topic.
