The agency has gotten more than 90 comments on Cboe's proposal for a bitcoin exchange-traded fund.
House committee approves measures to raise contribution limits, extend eligibility.
Navnoor Kang was arrested in 2016 and accused of accepting gifts, including drugs and luxury watches, in pay-to-play scheme.
Group supports bill that would exempt brokers who do not custody client funds and are in good standing from having to use an auditor registered with the PCAOB.
But some states are still pursuing investment advice reform as the Labor Department's rule dies and the SEC works on its own proposals.
GPB, which offers private placements, also cut the distribution rate on one of its funds
Legislation heads to floor as part of bipartisan package designed to modernize regulation.
Three advisers paid marketing consultant to solicit clients for online testimonials.
Administration seeks to head off turmoil resulting from Supreme Court's recent decision on administrative law judges.
Despite death of the DOL fiduciary rule, wirehouse continues to invest in ways to meet best-interest standard.
Industry plaintiffs who succeeded in vacating the regulation filed a motion seeking no further action.
Legislation would establish a task force to examine challenges facing senior investors and recommend regulatory, statutory changes.
Regulator also levies $200,000 fine, cites Cetera's failure to review rep's disclosures
The online marketplace hopes to connect advice firms with compliance experts.
Kavanaugh voted against "Merrill Rule" in 2007 D.C. Circuit Court of Appeals case.
Legislation would require SEC to look beyond AUM in determining size, such as to a firm's number of employees, when scaling mandates.
Massachusetts ordered Roger Zullo to disgorge $1.9 million in commissions.
How will the four wirehouses react to this news?
Plaintiffs alleged that offering 'artificially inflated' company stock in the defined-contribution plan violated ERISA.
