The state attorney general is looking at whether the company or its Sustainalytics unit violated a consumer protection law or another law that prevents the state from entering into contracts with companies that boycott goods or services from Israel.
Among the suggestions for mitigating conflicts are to avoid compensation incentives for selling certain products and to minimize incentives for favoring one type of product or account over another.
The new proposal would give the derivatives regulator direct oversight of tokens that qualify as 'digital commodities.'
The initiative effectively extends the online supervision of branch and non-branch operations that Finra allowed during the pandemic.
The SEC's proposed cybersecurity rule is an example of a one-size-fits-all regulation that would significantly affect smaller firms.
Investment advisers would have to establish anti-money laundering programs under a provision tucked into the bowels of the National Defense Authorization Act. It's another example of the breakdown of regular order on Capitol Hill.
The firm was charged with inadequately supervising its representatives, who made unsuitable recommendations of structured products.
B. Riley Financial had purchased a large stake in National Securities Corp.'s parent in 2018 and bought the remaining shares last year.
Rep. James Comer is calling on Edward Prewitt, who advised Hunter Biden, to provide information related to deals that triggered suspicious activity reports.
The tax deal in the Senate would eliminate the tax break used by private equity and hedge fund managers.
At a hearing Thursday on scams and risks in the crypto and securities markets, senators on both sides of the aisle pitched legislation to protect investors from harm.
Each of the firms failed to comply with the agency's rule on identify theft red flags.
The legal expenses linked to UBS' Yield Enhancement Strategy, which featured options, appear to be adding up.
The firm is facing a probe into whether it improperly let Americans trade digital assets that should have been registered as securities.
The products are a growing corner of the almost $6.4 trillion industry, defying words of caution issued by the Securities and Exchange Commission and others.
The changes include raising the net-income and net-worth thresholds for purchases and imposing a portfolio concentration limit.
The legislation is a necessary step to ensure that more and more Americans can live comfortably once they stop working.
The SEC's rulemaking roster includes 27 in the proposal stage and 26 in the final stage — giving everyone plenty of favorites and targets.
The substantial fines hitting big banks for failing to meet messaging-retention requirements shows the need for direction from the top to ensure the use of monitoring systems.
It's the latest action in the SEC's long-running campaign to crack down on disclosure and best-execution failures involving 12b-1 fees.
