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Electronic messaging, Reg BI, crypto and fraud all appeared at the top of regulators' agenda this past year.
December 19 -
Bans on working at brokerage firms don't lead to prohibitions on acting as an RIA as often as one might think.
December 12 -
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.
December 1 -
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.
November 30 -
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.
November 21 -
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.
November 17 -
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.
November 2 -
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.
October 31 -
A well-known business owner and advocate for the elderly now stands accused of stealing $2.25 million.
October 27 -
Chairman Gary Gensler draws attention to high-profile cases over WhatsApp and other messenger communications as well as the need for crypto regulation.
October 26