SEC

Agencies including FINRA and the SEC are looking at new risks posed in common use cases of AI — meeting dictation services, chatbots and using data to hyper-personalize ads.

A pair of wealth managers stand accused of allocating trading gains to themselves and losses to their clients in a way that had "nearly zero" chance of happening at random.

Merrill and a partner firm were accused of running a complicated yield enhancement strategy, or CYES plan, of the type that has long been in regulators' crosshairs.

A pair of SEC commissioners say the treatment of the brokerage firm Qatalyst shows industry watchdogs expect nothing short of perfection with regulatory matters.

Large exchanges argue some of the changes could make it more costly for them to offer rebates to brokers in return for order flow.

Regulators allege First Horizon Advisors violated Reg BI when it continued recommending complex investments even though it was struggling to bring over customer information from a recent acquisition.

The SEC head said artificial intelligence is promising for innovation and greater access to financial markets, but there's a need to ensure diversity of algorithms and guard against fraud.

Demand from retail investors for the closed-off securities has boomed, with private markets now worth more than $13 trillion.

The proposed changes, including to brokers' "payment for order flow" practices, laregly come in response to frenzied trading in so-called meme stocks.

The SEC obtained emergency asset freezes against Jonathan Adam and Tanner Adam, and their respective entities, to halt an alleged $60 million cryptocurrency Ponzi scheme.

Regulators have been working their way steadily down from the biggest players in the industry to regional firms in their quest to stamp out abuses of "off-channel" communications.

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.