SEC

Cadaret Grant agreed to fines to clear up allegations that it had failed to disclose conflicts with costly mutual funds and sweeps accounts.

The wealth management giant questions if there has ever been so large a civil sanction handed down in response to "negligent mistakes" made in an attempt to comply with "unwritten rules."

Researchers wonder if similar regulatory attention could eventually hit the bottom lines of independent broker-dealers and RIAs.

The SEC has approved the first U.S. exchange-traded funds investing directly in ether, the world's second-largest cryptocurrency.

Industry groups say RIAs are receiving SEC letters inquiring about compliance with the new T+1 settlement rule for stock and bond trades.

Former President Trump is disavowing the conservative blueprint, which advocates for radical shifts in regulations and taxes that would reverberate in the industry.

The SEC, FINRA and other agencies have been closely watching social media posts related to financial advice. Consultants share how to attract young investors on social media without encountering regulatory pitfalls.

The decisions indicated that justices will use far stricter scrutiny of government regulations moving forward, and some cases dealt a direct impact right away.

The high court ruling deals a serious blow to a system that critics contended had allowed regulators to act as proverbial judge, jury and executioner.

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The White House has vetoed a bill that would have repealed a measure requiring custodians of crypto assets to count them as liabilities on their balance sheets.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