SEC

Crypto insiders expect the SEC to announce several key decisions on Jan. 10, which could determine the future of the proposed spot-backed ETF.

Without inflation adjustments to income and net worth criteria, the number of people who qualify to put their money into sophisticated and risky investments has skyrocketed.

Only 68 tipsters received money in 2023, down from 100 in the previous year.

Industry watchdogs weren't concerned only about hot topics like artificial intelligence and cybersecurity but also remote work policies and the ability of brokers to clear their names.

New requirement calls on firms to report hacks within four days of deciding that the attacks are of material interest to shareholders.

Electronic messaging, Reg BI, crypto and fraud all appeared at the top of regulators' agenda this past year.

Bans on working at brokerage firms don't lead to prohibitions on acting as an RIA as often as one might think.

Amid industry crackdown, some say they are beginning to see a way forward for digital asset firms that want to stay on the right side of the law.

Traders betting that regulators will approve a U.S. spot bitcoin exchange-traded fund sooner rather than later have all but evaporated a once-gargantuan discount on the world's biggest crypto fund.

Touted as crypto's big breakthrough on Wall Street, the imminent arrival of Bitcoin ETFs may open digital-currency investing to the institutional and retail masses.

Kenneth A. Welsh stands accused of taking money out of his clients' brokerage accounts to buy gold and other precious metals and pay down credit card debt.

The inquiry into Wells Fargo comes at a time when clients can often secure much better rates of return through money markets and certificates of deposit.

A potential regulation called the "retirement security rule" is already facing pushback. Here are the first reactions across the industry in favor and against it.

A well-known business owner and advocate for the elderly now stands accused of stealing $2.25 million.

Chairman Gary Gensler draws attention to high-profile cases over WhatsApp and other messenger communications as well as the need for crypto regulation.

The firm's bottom line took a one-time hit from legal expenses even as it recruited advisors and added to its assets.

Thomas Brenner joins his accomplices Perry 'King Perry' Santillo and Christopher Parris in receiving prison sentences for defrauding investors.

Regulators promise to pay special attention to how firms are using technology to not only guide investments but also to protect client data.

Regulators are likley to enter into dialogue with industry about the best way to proceed.

Firms and industry groups warn that the regulator's proposal for reining in robo-advisors and sophisticated investing algorithms would step on their fiduciary duties and Regulation Best Interest.