The robo RIA, Wahed Invest, misled its clients about its proprietary funds, according to the SEC.
The $104 billion Chicago-based aggregator is going after a Seattle adviser for taking clients with him when he left a year ago.
The cryptocurrency platform agreed to settle allegations from the Securities and Exchange Commission and state securities regulators that it sold a crypto lending product that it hadn't registered with the SEC.
The request for information comes as the agency is working on a separate final rule on the use of ESG in retirement accounts. But the SEC's climate efforts are bogged down.
The former adviser alleged that J.P. Morgan Securities defamed him on the Form U5 it filed when he was discharged in 2017.
At issue is how much environmental data companies can be forced to disclose before regulators put themselves in legal jeopardy.
Sen. Elizabeth Warren, D-Mass., and Rep. Katie Porter, D-Calif., asked how arbitrators were chosen and whether the firm influenced the selection.
Firms will have to beef up their ability to detect, react to and report attacks, which is easier to do if you have an IT department.
Each guide breaks down specific elements of the group’s Code and Standards and discusses how CFPs can fulfill their duties.
U.S. consumer prices jumped in January by more than expected, representing a bigger hit to Americans’ paychecks as inflation charges ahead at the fastest pace since 1982.
Under the regulation, advisers would have to adopt and implement policies and procedure to address cyber risks and report incidents to the SEC and on their Form ADV.
The Reg BI examination results are part of a 60-page report outlining the regulator's 2022 priorities.
Maryland, Mississippi and Vermont are the first states to put the NASAA model rule into effect.
The SEC has rejected several Bitcoin ETF proposals because of concerns about potential investor harm tied to a crypto market it does not regulate.
Treasury's Liang says that firms offering the coins should face the heightened scrutiny that lenders receive under U.S. rules.
The agency is asking the public to comment on recent applications for exchange-traded funds linked directly to the price of Bitcoin and whether such funds could be a vehicle for fraud.
The Crypto Market Integrity Coalition is amendable to regulation and wants to help shape it. The 17 members signed a pledge to combat fraud and manipulation and ensure fair digital markets.
A group representing independent insurance agents says the regulation places an undue burden on them.
I was watching my alma mater play a crucial conference game when a commercial from a financial firm sparked a debate on fiduciary duty.
The lawsuit argues the company’s use of its own Old Westbury line of mutual funds in the plan benefited Bessemer at the expense of plan participants.
