SEC

The exchange will direct its listed companies to pursue board diversity, including at least one member who is female and at least one who is an underrepresented minority or LGBTQ.

Federal prosecutors alleged James K. Couture had reached an agreement to sell a home in Cape Cod before the proceeds could go toward restitution.

The trade group’s continued support comes with caveats as advocates for a stronger rule express hope that the Biden administration will change the 2019 regulation.

Nearly 100 clients Mata allegedly defrauded for $14.5 million have received paltry restitution after exhausting every possible method.

The wirehouse is the latest firm to have its financial advisors called out publicly by the regulator for disregarding warnings about holding the ETNs for a long time.

Here's what you missed this week in wealth management.

The Securities and Exchange Commission is ramping up enforcement against cryptocurrency providers, as the Internal Revenue Service has also stepped up investigations and compliance efforts.

New questions are being raised about the brokerage’s practices with the Intelligent Portfolios product.

Former clients of Isaiah L. Goodman shared the financial losses and other harmful impact of the $2.3-million scheme.

The compliance inquiry relates to past disclosures around the Intelligent Portfolios product.