New SEC measures seek to lower the financial burden of the Consolidated Audit Trail, following years of rising costs and legal challenges.
The regulator's impending response to a 2023 application by Dimensional Fund Advisors could open the door to a broader boom of dual share-class mutual fund products.
The Securities and Exchange Commission is inviting feedback on regulatory barriers as it considers changes to revive RMBS and asset-backed securities offerings.
SEC claims Vukota Capital Management and affiliates breached fiduciary duties and misled investors through undisclosed loans and misleading fund communications.
The notes never reached maturity and Vora Wealth Management clients have lost more than $89 million.
Asset managers eye dozens of new cryptocurrency ETF listings as the federal regulator streamlines approval process and shortens launch timelines.
A joint letter from the Democratic lawmakers to Secretary Scott Bessent warned of weakened protections against foreign risks to the US financial system.
Beginning in 2021, Lisa Boisselle and her firm Wealthwise solicited clients to invest in two crypto asset-related programs, according to an Arizona cease and desist order.
The credentialing body for CFP professionals also has retirement security, consumer education, and preserving tax-exempt status for nonprofits on its lobbying agenda.
SEC claims 5 Fruits Enterprises and its managers raised funds by promising automated trading and guaranteed returns, but most funds were never invested.
Ian Gregory Bell was ordered to pay more than $1.3 million after being found guilty of using investors' money on various personal luxury items.
The Scottish dance music producer alleges Thomas St. John "absolutely breached [his] trust" over a planned development for musicians and artists, according to reports.
Analysts say the president's call for a six-month reporting schedule, which he first suggested in 2018, would increase uncertainty even as it reduces the burden for public companies.
Where the federal regulator comes down on ETF share classes in mutual funds could have significant consequences for brokerage firms and RIAs.
The former Colorado resident allegedly caused private funds his firms advised to make detrimental short-term loans without investors' knowledge, among other fiduciary breaches.
The approved compensation would be on top of an even larger $133 million fair fund set up in a related SEC settlement, according to lawyers for the aggrieved investors.
Annual snapshot shows registration failures, fees, and fiduciary shortfalls as top enforcement issues, with California, Texas, and Florida hosting the most state-level RIAs.
The New York-based exchange's bid to trade tokenized versions of listed stocks and funds comes as Washington signals a friendlier stance toward digital assets.
James Warring and his firm, EagleStone, charged the client unauthorized and undisclosed fees during parts of the RIA relationship, the SEC claims.
Stifel's total is now more than $176 million in damages, legal fees and settlements related to Chuck Roberts, who was barred from the securities industry this summer.
