A campaign against the use of ESG factors to manage assets for public workers has snowballed; the issue has also been a focus in Congress.
The SEC chair calls AI 'the most transformative technology of our time,' but emphasizes the agency's focus on fraud.
Finra's rules on gifts exist as a line in the sand between right and wrong, but advisors should know what is appropriate to give or receive.
The Miami Beach, Florida-based advisor, Chuck Roberts, is a 33-year industry veteran and has worked at Stifel since 2016.
$175 million sale snares another defendant with charges of securities fraud, wire fraud and conspiracy.
After being shot down by the Supreme Court, the administration has unveiled a revamped plan that could benefit more than 800,000 borrowers.
Temporary relief from onsite inspections runs out at the end of this year, so firms are hoping the SEC moves quickly on the proposals.
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.
