After the Blackstone Real Estate Income Trust and the Starwood Real Estate Income Trust limited redemptions, the SEC reached out to both firms to try to understand the events.
CFP Chair Kamila Elliott said the current political environment would make it too difficult to obtain legal recognition of financial planning.
The defendants allegedly disseminated false and misleading information to their collective 1.5 million Twitter followers to hype interest in certain securities while secretly planning to sell shares at artificially elevated prices, the DOJ charged.
The agency laid out four proposals that Chair Gary Gensler says would boost transparency and competition.
Anti-greenwashing proposals are already having an effect, results of a US SIF survey suggest.
But they need to be aware of stepped-up regulatory scrutiny of complex products, an expert tells advisers at the Financial Planning Association annual conference.
The panel will conduct the first comprehensive assessment of the education, examination, experience and continuing education requirements related to the CFP mark.
Bankman-Fried, who was arrested Monday in the Bahamas, also concealed risks and FTX's relationship with his trading firm, Alameda Research, the agency says.
The organization representing financial planners wants to obtain legal recognition of the profession, a process that could involve a long, winding road through state and federal legislatures.
Senate and House members introduce a measure that would establish retirement accounts for low- and middle-income workers not covered by an employer plan.
The regulator says the firm failed to supervise one of its affiliated brokers whose outside dealings cost LPL customers more than $650,000.
The agency is targeting so-called payment for order flow, which proponents say allows for low-cost trading but critics say doesn't give customers a good deal on their orders.
Supporters say the measure will help consumers grasp the product, a kind of variable annuity touted for its downside protection and used in retirement savings.
Report says the asset managers are using their stakes in public companies to cast proxy votes that favor a ‘liberal political agenda.’
The Investment Adviser Association lobbied against what it called an 'overbroad' regulation for advisers whose business models don't create money-laundering risks.
The SEC finds that some firms use generic compliance programs that aren't tailored to the particular hacking dangers their accounts face.
Bradley Goodbred now faces criminal charges of stealing money from an elderly client, in addition to civil charges from the SEC.
The four Advisor Group firms sold investors GPB private placements but failed to tell them that GPB hadn't made required filings, including audited financial statements.
The Senate and House bills will both die at the end of the year if they are not approved. It’s not clear whether sponsors will reintroduce them in January.
An investor alleges the firm made unauthorized trades. The Finra arbitration decision comes as the regulator is conducting an exam sweep on options.
