Regulation

The SEC has cited concerns about manipulation as a top worry that must be addressed before it approves a bitcoin ETF.

The regulator laid out detailed guidelines for how planners should be communicating with clients electronically.

Former Securities America rep Hector May carried out a 20-year scam through his outside RIA, according to prosecutors

Robinhood Financial has rebranded its service, deleted tweets about its launch and scrubbed the page from its website.

The fintech's new products may violate several banking and securities regulations, industry officials say.

A uniform fiduciary standard is only way to ensure all advisors are putting their clients first, the Democratic senator says.

The fintech did not contact the Securities Investor Protection Corporation to discuss protection for deposits, according to its CEO Stephen Harbeck.

When faced with a regulatory challenge, advisors can’t be afraid to question authorities.

The product, which allows investors to purchase virtual currencies on their exchange, hits the market at a low point for bitcoin.

Macroeconomic trends and matters of convenience will move advisors, assets and markets next year in the ever-changing wealth management space.