SEC

Nearly all the brokers who dropped their FINRA registration in the wake of tougher rules kept their insurance licenses, according to newly published research.

The fund manager, convicted of fraud by a New York federal jury in August 2024 and sentence to seven years, spent less than two weeks in prison before being released.

After the newly crypto-friendly Donald Trump won reelection, bitcoin jumped over $100,000. Many advisors and even more clients remain skeptical, though.

The latest SEC Enforcement Activity report finds that the watchdog agency has only started four regulatory cases against public companies under the current presidential administration.

Fiduciary laws trace their roots to ancient times, but the terms of the Investment Company Act of 1940 and the Investment Advisers Act are still evolving today.

The Financial Services Institute is pressing the Securities and Exchange Commission to adopt formal procedures to prevent what it deems the sometimes capricious enforcement of industry rules.

A credit scare last month could have been a momentary blip, but financial advisors have always known there are a lot of risks in private investments.

In an ever-expanding and constantly shifting profession marked by messy but important debates, can one of the field's most important organizations keep up with the times?

The model they want to follow creates an exchange-traded fund as one of the share classes of a mutual fund, a move that ports the famous tax efficiency of the younger structure to the older vehicle.

Compliance and former SEC lawyers say remaining industry regulators will prioritize preventing imminent investor harm while putting off some paperwork and routine tasks.

Co-founded by four Orion veterans, new wealthtech startup Hamachi.ai seeks to embed AI-powered compliance into client communications.

A government shutdown disrupts federal agencies and markets. Here's what advisors need to know to guide clients through the uncertainty.

The plan to issue shares on the NASDAQ stock exchange comes three years after UBS abandoned plans to acquire Wealthfront.

Also this month in our disciplinary digest, a now-barred 'problem broker' for Stifel lands his former firm another hefty settlement, and an advisor is accused of fraud for trying to poach clients from his old firm.

The regulator's Investor Advisory Committee said policymakers could abandon asset and income thresholds for determining who can put money into private markets and instead adopt a "sophistication" standard.

A frequent subject of SEC enforcement complaints and examinations can cause newer firms pain if they don't follow the rules.

Vanguard was accused of giving advisors incentives to enroll clients in certain financial service without disclosing how they were being compensated.

Also this month in our disciplinary digest, a frequent CNBC analyst is sentenced to five years in prison for defrauding investors, and a former Fidelity advisor faced charges after borrowing millions from clients.

The question has turned into something of a paradox because of the related, but different, rise of RIAs and how that has affected independent brokerages.

As head of the SEC's enforcement division, Margaret Ryan is expected to pursue the administration's priority on fighting fraud and insider-trading cases, while taking a lighter touch than her precessor with the crypto industry.