The federal regulator's latest notes give compliance teams breathing room on endorsements, while emphasizing its view on the use of actual vs. model fees when presenting portfolio performance.
The alleged spending spree included $85K at Texas strip clubs over just two days
Former insurance agent Dean Vagnozzi claims SEC has dragged his name and reputation through the mud.
The $2.8B buyout unraveled after DOJ documents implicated their longtime business partner.
The fund allegedly let a large investor exit while stalling smaller investors' redemptions.
Tax Foundation says some founders, tech executives, and other ultra-wealthy residents could face 'dramatically higher' consequences.
Unions, business groups, and tech titans line up on opposing sides of the measure targeting up to 250 of the state's most fabulously wealthy residents.
Plaintiffs allege a years-long scheme left them without promised security.
A federal appeals court just handed advisory firms a major loss in their fight to stop advisors from walking out the door with clients.
'FINRA’s 2025 disciplinary statistics reflect a significant reining-in of FINRA’s enforcement program,' according to analysis.
In a letter shared exclusively with InvestmentNews, trade group urges Chair Paul Atkins to modernize disclosure rules for digital delivery for investors.
Only 3% of SEC-registered RIAs qualify as small entities under the agency's current threshold, but about 75% would qualify under the proposed new definition.
Industry players are watching nervously to see what lawmakers may decide on digital assets.
They paid $25K to settle fraud charges. Now the SEC wants them banned from the industry entirely.
Sources tell InvestmentNews the SEC is sharpening its focus on how RIAs disclose payments connected to third-party ratings, warning that omissions can be misleading.
Move would sweep many more RIAs and funds into the “small entity” bucket, potentially reshaping how the federal securities regulator designs new rules.
The Nvidia chief’s support for a one-time levy puts him at odds with fellow tech moguls, some of whom are reportedly exiting the state.
The alleged scheme involved fake press releases and doctors impersonated via spoofed emails.
Lawsuit alleges some accounts hit up to 100% concentration in a volatile microcap.
Firm 'satisfied' with resolution. Mary-Kate Gulick tells InvestmentNews: 'I needed this to be over.'
