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The ban comes after the Wall Street regulator's imposition of nearly $3 billion on fines for failing to track and record communications sent on messaging apps.
April 17 -
The regulator's Consolidated Audit Trail database, intended to collect trading data, is in legal crosshairs again over privacy issues.
April 17 -
The Securities and Exchange Commission has temporarily stayed its climate-related disclosure rule amid a rash of lawsuits.
April 8 -
Having hit most of the big Wall Street firms with hefty fines for misusing WhatsApp and similar services, regulators are now turning their attention to independent advisors.
April 4 -
The case is the latest to emphasize advisors' obligations to let investors know when they receive money for recommending certain mutual fund products.
April 2 -
A federal judge has signed off on the bankrupt crypto firm Genesis Global Capital's settlement with the Securities and Exchange Commission over allegations a digital-asset lending program it helped run violated the agency's rules.
March 20 -
Regulators contend two firms falsely advertised themselves as the first to apply artificial intelligence to investment recommendations.
March 18 -
A federal court has temporarily halted the Securities and Exchange Commission's climate-related disclosure rule in response to a lawsuit from a pair of fracking companies.
March 18 -
One of the largest independent wealth management firms faces a big potential SEC judgment in a case that sheds light on industry revenue-sharing practices.
March 7 -
A divided Securities and Exchange Commission approved a new rule to require companies to provide climate-related disclosures, but scaled back the original proposal.
March 6