The $3.3 trillion tax and spending cut package narrowly got through the upper house, with JD Vance casting the deciding vote to overrule three GOP holdouts.
A House bill could stop the SEC from blocking closed-end funds' private fund investments.
Crypto investor argues the federal agency's probe, upheld by a federal appeals court, would "strip millions of Americans of meaningful privacy protections."
Financial services compliance consultant ACA Group told InvestmentNews it had four clients report receiving emails that impersonated David Bottom, the SEC's chief information officer, with smaller firms being targeted.
The former investment advisor misled clients in a decade-long scheme to fund international travel expenses, country club fees, and other personal expenses, according to three government agencies.
The advisor, Andrew Nash of El Capitan Advisors, used the funds to buy a house, according to the SEC.
Open letter to SEC Chair Paul Atkins questions whether the Ivy League university withheld material information prior to its $750 million taxable bond offering.
The social influencer Tyler Bossetti pleaded guilty to wire fraud and aiding in the filing of false tax documents as a result of the real estate scheme, which ran from 2019 to 2023 and used platforms including Facebook and YouTube.
Blue Anchor Capital Management and Pickett also purchased "highly aggressive and volatile" securities, according to the order.
Reshuffle provides strong indication of where the regulator's priorities now lie.
'Nostradamus' real estate entrepreneur accused of misleading investors on social media despite SEC's objections.
The Jack Bogle-founded firm is looking to apply its famed dual-share class structure to actively managed strategies.
House bill seeks inflation-based adjustment to private fund advisor exemption.
A new House measure would enshrine FinHub and LabCFTC as permanent fixtures, deepening ties with financial technology sector.
The brokerage industry regulator once again takes a stab at updating rules for independent brokers with other businesses and jobs
Miles Marshall was "the proverbial big fish in a small pond," according to one attorney.
Multi-year NASAA investigation shows the five firms charged customers $19 million across just over a million trades, violating FINRA rules.
Financial advisors live in fear of a large firm dirtying their work histories after they leave a firm.
The ex-registered broker facilitated a series of transactions, including nine trades totaling nearly $130,000 and eight withdrawals amounting to $85,000, for a fourteen-month period after the client's death.
"We are making sure to pivot away from companies disproportionately exposed to the lower-end consumer," says F.L.Putnam's Ellen Hazen, as her RIA's investment strategy prepares to react to proposed cuts to medicaid and SNAP.
