Financial regulations

The first-of-its-kind product is cleared and features the same creation-and-redemption process common with traditional offerings.

Due to a 2010 FINRA rule change the answer is — with difficulty.

While the agency has publicly detailed key focus areas, some planners still don't know how it evaluates firms.

The regulator postponed until October a ruling on whether listing rules can change to allow two cryptocurrency funds to start trading.

Reports of the death of fiduciary differentiation have been greatly exaggerated, contends fiduciary advocate Knut Rostad.

Prosecutors said Robert Shapiro used investor money for his $6.7 million home and $3.1 million for chartering planes and for personal travel.

The agency wants to hire a reputation management expert to burnish its image as it faces social media attacks.

Though designed to raise standards for broker-dealers, the SEC’s 564-page rule sent ripples throughout the advisory industry.

The commission warns practices to tighten up supervision and ensure accurate disclosures.

The SEC and FINRA say they’ve held a series of discussions with market participants on how decades-old custody rules might apply to virtual coins.