SEC

The investments can pose substantially more risks than typical initial public offerings.

The regulator will be stepping up scrutiny of advisors on this issue and others, including ESG and cybersecurity.

While the quant firm will miss becoming the first to flip mutual funds to ETFs, its nearly $26 billion conversion will by far be the biggest.

Those with the resources to sort through compliance thickets may be better positioned to take advantage of some long-awaited changes.

Much of the confirmation hearing revolved around trading January spikes in GameStop and other stocks.

The exchange operator’s planned regulations are currently too narrow and should be amended, two groups wrote in comment letters to the SEC.

Senators will likely push Gary Gensler, tapped to lead the SEC, for his views on the recent market mania that roiled shares of GameStop and other stocks last month.

Naked short selling is one possible cause.

So far this month, an average of 99 billion shares in companies that don’t trade on classic exchanges have changed hands each day.

The department says it is working “to determine how we might improve” the regulation.

The 33-year-old advisor allegedly spent clients’ money on luxury items and business expenses for his startup.

While getting a rules overhaul through a bitterly divided Congress won’t be easy, analysts, consumer advocates and experts say changes may be on the table.

The troubled alts manager’s charges will trigger many more arbitration proceedings and potential regulatory cases, plaintiff attorneys say.

The Silicon Valley startup left users fuming by temporarily restricting certain purchases at the height of January’s mania over GameStop.

If approved, the vehicle will focus on acquisition targets in the consumer or retail industries, according to the prospectus.

Known primarily from his decades-long MLB career, Alex Rodriguez is joining a roster of wealthy celebrities backing blank-check companies.

Following through on its staged approach to new advice standard, industry regulator expected to be less patient with the "laggards."

Wealth managers acting as “downstream broker-dealers” allegedly made $187 million in commissions and other selling fees on GPB Capital investments.

In the new Form CRS, firms must justify whether they place client assets in advisory or broker accounts.

Consumer advocates are calling for Gary Gensler to toss out Reg BI as wealth managers aim to keep the prior administration’s rule in place.