But as the year goes on, the current market volatility is likely to cause the number of arbitration cases to spike.
CFTC Chairman Rostin Behnam says his agency would be a tough regulator for crypto market.
The collapse of Archegos Capital Management shows a need to rethink some of the agency’s rules, Rostin Behnam says.
The broker-dealer self-regulator projects a drop in corporate filings and market trading volume, which will reduce its fee income.
SEC Chairman Gary Gensler has been under pressure from Republican lawmakers and industry trade associations to allow more time for feedback on rulemaking.
A Finra arbitration panel ordered UBS to pay the clients $2.9 million in compensatory damages and $966,000 in attorneys' fees.
The firm, which was the second-biggest underwriter of special purpose acquisition companies last year, has been telling sponsors of the vehicles it will end its involvement, sources said.
Republican lawmakers express concern over expansive SEC agenda that they say exceeds the agency's authority and jurisdiction.
The interest-rate increase is the biggest since 2000 and is the most aggressive policy action in decades to combat soaring inflation.
JPMorgan CEO says a bigger risk to the global economy is the war in Ukraine as it signals the ‘Cold War is back.'
Measures that would build on the SECURE Act's efforts to improve retirement security could run into trouble if consumer advocates zero in on annuity reform.
The crackdown could hit everything from leveraged and inverse vehicles to cryptocurrency-linked funds and defined-outcome strategies.
People trust climate data more often if companies are required to report it, a recent survey found.
The additions will bring the agency's Crypto Assets and Cyber Unit to 50 people.
While the number of firms decreased, aggregate revenue for Finra-registered firms rose to $398.5 billion in 2021, up from $361.9 billion in 2020.
The adviser, Adam Belardino, had managed the victim’s investments before he founded Maddox Group in July 2019 and persuaded her to transfer $313,000 to Maddox.
Gwen Campbell says in a complaint filed with the EEOC that she was subjected to 'name-calling' and 'sexist decrees' when she joined JPMorgan in 2020.
Gerald J. Fasanella alleged that the firm had conducted a “pre-meditated scheme to defame” and fire him.
The measure sponsored by a bipartisan group of representatives would bring exchanges that offer digital assets like Bitcoin directly under the purview of the Commodity Futures Trading Commission.
James Iannazzo, who lost his job at Merrill after a tirade at a smoothie shop, will have the charges against him dismissed after a year under supervision.
