Financial regulations

The Silicon Valley startup left users fuming by temporarily restricting certain purchases at the height of January’s mania over GameStop.

Approval for similar access at competitors such as Schwab and Morgan Stanley’s E-Trade can take days.

The recent tumult involving GameStop and Robinhood has raised questions about whether broader risks for the financial system are brewing.

Does a poor stock pick, for instance, constitute a sales practice violation?

The looming threat for Biden’s SEC pick is that the good times could end on his watch, triggering a crash that hits retail investors who’ve contributed to the boom.

President Biden has picked Allison Herren Lee, a member of the Securities and Exchange Commission, as the acting chair of the SEC, as nominee Gary Gensler waits in the wings as a more permanent chair once he is confirmed by the Senate.

As Wall Street jumps on the Bitcoin rally like never before, the firm says existential risks could threaten the industry over the long haul.

The pending nominations send a clear signal that the rule-cutting and lax enforcement the industry has grown accustomed to under President Trump are over.

Biden's expected nomination for chairman is known for pushing back at banks and corporations in search of greater investor protections.

If confirmed by the Senate, the former CFTC chairman would be the new administration’s front-line regulator for Wall Street.

VanEck’s proposal comes at a time when the cryptocurrency has continued to set record highs.

Long-awaited advertising regulations allow for online testimonials but also increased risk of audits, observers and commissioners say.

Attorneys, compliance experts and marketers weigh in on the regulator’s first update to advertising compliance in decades.

Existing regulations that protect investors and deliver clarity to the industry must be preserved by the incoming administration, writes Financial Services Institute CEO Dale Brown.

The former U.S. attorney for the Southern District of New York was also once a top aide to Senate Minority Leader Chuck Schumer.

OCIE's recent exam initiative uncovers widespread supervision shortfalls in large, geographically dispersed firms.

With a new administration, the regulator has an opportunity to renew its focus on a key pillar of its mission.

But the regulator also ordered record payouts in 2020, including restitution through a self-reporting program that drew industry ire.

The rule has faced a host of criticism from investors, environmentalists, asset managers and others.

Unclear — or no — disclosures were among a number of concerns regulatory officials expressed about initial examinations.