SEC

Wall Street’s main regulator has made ADR sales a focus of its enforcement efforts.

The certification could stop being the gold standard and become the requirement, if only the regulatory path were clearer.

The regulator says it will keep an eye on issues like cybersecurity and cryptocurrencies.

Firms fined for misleading statements about products and performance — a possible sign that the commission is increasing its surveillance of digital investment platforms.

The SEC has cited concerns about manipulation as a top worry that must be addressed before it approves a bitcoin ETF.

The regulator laid out detailed guidelines for how planners should be communicating with clients electronically.

Former Securities America rep Hector May carried out a 20-year scam through his outside RIA, according to prosecutors

Robinhood Financial has rebranded its service, deleted tweets about its launch and scrubbed the page from its website.

The fintech's new products may violate several banking and securities regulations, industry officials say.

A uniform fiduciary standard is only way to ensure all advisors are putting their clients first, the Democratic senator says.