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Investment advisor numbers escalate while ideas for stronger oversight remain stuck
Should the SEC turn to a third-party organization to help it increase the number of exams?
Gensler says AI holds promise, peril for financial advice
The SEC chair calls AI 'the most transformative technology of our time,' but emphasizes the agency's focus on fraud.
SEC charges former broker with ripping off elderly, disabled clients
Joseph Michael Todd of Florida stole at least $3 million from 20 customers, according to the regulator.
SEC’s rejection of BlackRock bitcoin ETF unlikely to derail eventual approval
Rejection screams 'we're ready to approve,' says financial planner.
SEC report on RIA mandatory arbitration leaves many questions about potential investor harm
The report says more than half of investment advisors force their clients to go to arbitration to settle disputes, but it doesn't put a number on RIA arbitration cases or the costs for claimants.
How advice standards have converged 3 years into Reg BI
While the SEC is working to put teeth into Regulation Best Interest, questions remain about how it’s working in practice.
Coinbase crackdown widens as states push to halt staking product
Both federal and state officials drilled in on the firm's staking program, which offers customers a return for letting their tokens be used to facilitate blockchain transactions.
SEC sues Coinbase for breaking securities rules
Regulator’s suit comes day after the agency sued crypto platform Binance for a wider set of violations.
SEC sues crypto platform Binance for violating securities rules
The agency has for months been probing whether Binance illegally sold digital coins as the exchange was getting off the ground in 2017.
Firms brace for SEC spotlight on electronic communications
Protecting investors from fraudulent, misleading or otherwise problematic electronic communications seems to be of the utmost importance to regulators.
Crypto startup gets special purpose broker-dealer license with SEC
The approval allows Prometheum Ember Capital to safekeep digital asset securities on behalf of individual and institutional clients as a qualified custodian.
SEC’s Crenshaw sees potential overlap in EU-US climate rules
The watchdog agency teed up a sweeping proposal in March 2022 intended to standardize the types of disclosures public companies make about greenhouse gas reduction goals.
RIAs are embracing compliance as a necessary evil
In an era of increasingly complex regulatory oversight and possibly the most aggressive SEC ever, breakaway RIAs are realizing that compliance is not something to be ignored.
SEC’s delay on climate disclosure rule leaves companies in limbo
Few companies have goals in place that would reduce their greenhouse gas emissions in line with Paris goals, according to MSCI.
The problem with the SEC’s deluge of rule proposals
The pace and breadth of the agency's current rulemaking is not allowing for constructive criticism from the people implementing the rules.
Gensler blasts hedge fund fees as SEC readies rules
The Securities and Exchange Commission plows ahead with plans to boost oversight of the private fund industry.
Gary Gensler has his game face on
With cheerleaders on the left and critics on the right, the chair of the Securities and Exchange Commission stays focused on what matters.
A legacy of wins built one vote at a time
The SEC chair says the views of Republican commissioners can influence rules, even if unanimous support can't be achieved.
BlackRock’s Dalia Blass leaves for law firm Sullivan & Cromwell
Blass, the former head of the SEC's division of investment management, led external affairs at BlackRock for two years.
Love it or hate it, ESG has been around for decades — and it isn’t going away
Interest both for and against sustainable investing will almost certainly be rising — and that means that financial advisors can’t afford to ignore it.
