Financial regulations

A federal court has temporarily halted the Securities and Exchange Commission's climate-related disclosure rule in response to a lawsuit from a pair of fracking companies.

A divided Securities and Exchange Commission approved a new rule to require companies to provide climate-related disclosures, but scaled back the original proposal.

Despite major pushback on various proposed regulations, the chair said he is focused on "getting it right."

The agency is adding new financial reporting and accounting requirements for SPAC deals.

After more than a decade of opposition, the Securities and Exchange Commission has given the green light.

Mandating the use of pricey arbitrators for retail investor complaints makes no sense — other than to make the process prohibitively expensive, argue two investor advocates.

The Securities and Exchange Commission approved new rules that would require entities to disclose material cybersecurity incidents.

There are important nuances to note in the relatively straightforward requirements of the rule.

SEC Chair Gary Gensler is worried about conflicts of interest in investment advice.

NASAA proposes new conduct standards for real estate trusts, updating net income and worth limits.

The Securities and Exchange Commission charged several investment advisors with combined penalties of $1 million for violating the Investment Advisors Act's Custody Rule.

Even if rules governing the new assets turn out to be at odds with those of firms, acting today will foster a compliance culture in a volatile financial services space.

Advisory firms are particularly vulnerable to data breaches, according to a recent Arizent survey, and proposed SEC rules mean they may no longer be able to react to cyberattacks with impunity.

The commission issued a 500-plus-page proposed rule Monday that would mandate corporate disclosure of greenhouse gas emissions.

The New York-based advisor is accused of defrauding at least 56 investors.

SEC enforcement actions and regulatory requirements citing Form CRS suggests that firms need to step up their compliance operations.

A Senate hearing highlighted the two parties' starkly different views of digital assets, with Democrats warning of price manipulation and Republicans saying the government should just get out of the way.

The Securities and Exchange Commission is ramping up enforcement against cryptocurrency providers, as the Internal Revenue Service has also stepped up investigations and compliance efforts.

Robinhood revealed several new inquiries from state and federal watchdogs as it pushes ahead to sell shares in one of the year’s most anticipated IPOs.

The SEC alleged the company did not disclose its conflicts of interests related to mutual fund share classes, cash sweep arrangements, and no-transaction fee revenues, according to a recent SEC filing.