Financial regulations

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.

During his tenure as New Jersey’s top lawyer, the state proposed tougher rules for investment advisors and joined other states in suing financial firms.