The applications the SEC will consider, for ETFs that hold Bitcoin futures, all follow a format that SEC Chair Gary Gensler has indicated could be received favorably by the regulator.
Tax changes are coming too, but the experts — like everyone else — await details.
The devastating consequences of a default make it unlikely to happen, advisers say. Inflation is a bigger threat.
Ron Harrison’s clients lost money while he collected fees based on the purported gains he made by trading options, the agency charges.
Support from corporate executives and slick marketing is no match for rules and regulation when it comes to managing sustainable portfolios.
As the agency looks at whether game-like features used by the online trading platform lead to excessive trading by retail investors, Robinhood says additional regulation could be rejected by U.S. courts.
Rep. Ann Wagner, R-Mo., raised concerns about what Gensler's recent hiring of Barbara Roper means for the future of the Regulation Best Interest standard of conduct.
If the model rules were adopted, states would have more power to collect millions in fines.
Jeffrey Dampf was barred from the securities industry last week for not cooperating in Finra's investigation of allegations that he stole money from elderly clients.
The son of a man murdered by a Colombian guerrilla group had sued for access to a 401(k) account connected to the perpetrators.
Research shows that investors in digital currencies also see inflation as a longer-term reality.
The trader, Keith Wakefield, was charged with one count of securities fraud, which carries a maximum sentence of one year in prison.
TCFG in Laguna Nigel marked up ticket charges 60% of the time, but told advisory clients that markups were imposed only 'in some limited instances,' the agency says.
Republicans are upset about auto-IRA and other proposals in the $3.5 trillion budget reconciliation package. Will their ire carry over to SECURE 2.0?
Last year, the SEC charged the unregistered adviser at the heart of the matter with defrauding a town in Puerto Rico and misappropriating $7.1 million.
In other cases, claims have been dismissed against several plan sponsors, including Prudential and Eversource Energy.
A recent Financial Industry Regulatory Authority Inc. rule change gives reps five years to return without having to retake qualifying exams.
A discussion about what to wear on a casual Friday took an ugly turn, according to the former TD Ameritrade employee. CEO Walt Bettinger said harassment is unacceptable, and the firm will investigate the claims.
The SEC charged Robert Press, the former CEO of TCA Fund Management, and Donna Silverman, its former chief portfolio manager, with inflating net asset values.
Self-directed IRAs are a growing area of concern at the state level, as enforcement actions more than doubled last year.
