Ishan Wahi allegedly leaked information to his brother and a friend about when tokens were about to be listed on the exchange.
The firm was ordered to pay more than $450,000 in total this week in separate complaints about the complex product.
Legal recognition of the title is 'a critical step in recognizing financial planning as a distinct, essential profession,' the organization said.
A couple of major court rulings may lead to more litigation related to defined-contribution retirement plans.
GOP lawmaker grills SEC Enforcement Director Gurbir Grewal on how the agency can crack down on ESG when there's no regulatory definition of ESG.
Jeremy Carlson allegedly acted as an unregistered broker-dealer and salesperson, and engaged in fraudulent practices, according to the state's securities commissioner.
The first Reg BI enforcement action, filed last month, won't be the last, division director Gurbir Grewal told lawmakers.
The SEC said Equitable had provided false statements to 1.4 million variable annuity customers, most of whom were teachers or other public school employees.
Proposal filers and proxy advisers want the regulator to do more.
This month's roundup looks at Schwab's $187 million settlement with the SEC, Bento Engine's funding round, and RIA In A Box's launch of a RolloverAnalyzer solution.
The sweeping civil probes rank among the largest-ever penalties levied against US banks for record-keeping lapses.
A study by the group’s education arm sees greater financial literacy resulting in greater capability.
The SEC chief says disclosures can be tailored for digital firms. He mentioned that such an approach is used for asset-backed securities and equity offerings.
The agency approved rules that free proxy advisers from restrictions placed on them at the end of the Trump administration; it also amended the reasons companies can use to try to keep shareholder proposals off their ballots.
Meanwhile, the firm's wealth management franchise reported positives for the second quarter despite the broad stock market decline seen so far this year.
It's the first time the regulator has taken an enforcement action related to remote test taking.
The first examples of this new strain of ETF creativity could hit the markets within days, giving day traders another toy and financial advisers another headache.
The regulator accused the firm of 'double-dipping' by receiving both advisory fees and fees generated from products with high transactional costs.
But opponents, including SEC Commissioner Hester Peirce, want the agency to scrap the whole project.
The attorney, John W. Pauciolo, provided the legal approval for years of commercials advertising the unregistered Par Funding investments.
