SEC

Climate-related disclosures will bring complexities requiring short- and long-term action by financial institutions, and the first reporting could begin in fiscal 2025.

There are times when vendor contracts must come to an end, particularly as new technology providers enter the market. CEOs offer tips for ending a vendor relationship and what to put in contracts to protect data in a breakup.

The American Securities Association accuses the industry regulator of violating federal sunshine law for rebuffing its requests for insight into more than $3 billion in recent settlements with Wall Street giants.

The U.S. Securities and Exchange Commission is looking at how social media influencers and AI technology may pose conflicts of interest, steer investors' financial decisions.

The White House has vetoed a bill that would have repealed a measure requiring custodians of crypto assets to count them as liabilities on their balance sheets.

The U.S. Fifth Circuit Court of Appeals in New Orleans sided with the private funds industry, which argued that the agency overstepped its authority.

The more frequently companies report their earnings, the less likely investors are to make knee-jerk investment decisions, according to recent research.

The Securities and Exchange Commission's overly broad expansion of the Dealer Rule is only the latest example of the agency's yearslong effort to stifle innovation in a vibrant and growing industry.

The elimination of "staking" and associated yields tamp down enthusiasm for the products.

Large companies are bolstering their adjusted earnings per share by excluding items such as litigation expenses and amortization of intangible assets from their net income.

With a deadline looming for the SEC to decide on one of the ether spot ETFs, signs suggest the regulator may be softening.

The Securities and Exchange Commission, having already approved spot bitcoin ETFs, ought to follow through and grant the same approval to spot ethereum funds. Doing so would create a new surge of investment, with positive economic impacts.

Officials from FINRA and SEC spoke on how they are examining AI and emerging technology while also raising new risk concerns like deepfakes, which could make voice recognition software obsolete.

A newly proposed rule would require firms to verify customers' ID information and check it against government lists of terrorists and criminals.

The SEC's guidance is a part of a much broader movement as the U.S. strives to catch up with Europe.

Caz Craffy admitted to taking nearly $10 million entrusted to him by Gold Star families and using it for excessive trades through outside brokerage firms.

The Wall Street regulator stands accused of a "gross abuse" of power in its investigation into the digital assets firm DEBT Box.

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.

The regulator's Consolidated Audit Trail database, intended to collect trading data, is in legal crosshairs again over privacy issues.

The Securities and Exchange Commission has temporarily stayed its climate-related disclosure rule amid a rash of lawsuits.