The Investment Adviser Association and the Investment Company Institute voiced support for the two-year postponement, citing a need for tailored anti-money laundering requirements.
Federal appeals court upholds prison term for Kenneth Courtright after $69 million Ponzi scheme hits investors.
SEC alleges Inventis Ventures’ leaders promised 15% monthly returns in $26.5 million unregistered offering.
SEC claims 777 Partners executives misled investors, hid $300 million overdraw, and diverted offering proceeds for personal use.
State regulators stepped up actions against crypto scams, unregistered actors, and senior exploitation as digital threats evolve.
The industry group says current rules are outdated and overly broad, urging reforms to better reflect modern communication channels.
As the Congressional deadlock enters its third week, seven would-be public companies are betting on a workaround offered by regulatory officials.
The penalty, one of the biggest against a robo-advisor, comes after Ally reportedly failed to preserve more than 22 million business-related electronic communications due to technical errors.
Capital gains, standard deductions, tax brackets changes offer planning opportunities.
The government shutdown hits the tax man - hard
New FINRA findings suggest younger crypto- and meme-focused investors may be especially vulnerable to fraud and counterparty risks.
The longtime CEO of JPMorgan sided with President Trump's proposal for less frequent disclosures, citing "endless rules" that are "part of a much bigger problem."
Experts say the cyber-criminal coalition's latest threat, which names Alllianz Life and other giant firms, marks a tactical shift from traditional ransomware to public extortion.
Startup under the microscope following whistleblower reports and revelations by former employees, according to the Wall Street Journal.
The SEC alleges a Brooklyn adviser raised $4.1 million from clients in a Ponzi-like scheme, spotlighting adviser oversight and compliance risks in wealth management.
While the SEC works through a bursting waitlist, technical challenges remain for mutual fund giants looking to seize competitive advantage.
Resident, who posed as a financial advisor, pleads guilty to a multi-million dollar fraud that targeted retirement accounts, robbing many of their life savings.
Arguments are scheduled for January 2026, ensuring Cook will serve through the end of this year’s remaining Fed policy meetings.
Failure to resolve federal deadlock by midnight could stall IPO approvals, limit SEC activity, and delay jobs data, while Social Security and essential services continue.
Michael P. Raineri, 63, stole $531,411 from a client's trust account over about six years, according to the U.S Attorney's office.
