Special-purpose acquisition companies — better known as SPACs, or blank-check companies — made a splash during the COVID-era retail-trading surge.

Defense cites a heart condition caused by a Brazilian parasite as a reason for lesser time.

Nicholas Spagnoletti, 52, had “images and videos depicting the sexual exploitation and/or abuse of a minor” on his phone, investigators say.

Wall Street’s self-regulator says recent data show that only mid-sized and smaller firms would have fit its new “red flag” criteria.

Federal prosecutors alleged James K. Couture had reached an agreement to sell a home in Cape Cod before the proceeds could go toward restitution.

A roundup of this week's news includes advisors on the move, new hires and SEC enforcement.

Sure, you might have to actually pay U.S. taxes on those crypto trades. But at least it will be easier to figure out how much you owe.

SEC enforcement actions and regulatory requirements citing Form CRS suggests that firms need to step up their compliance operations.

Adjustments to the organization’s sanction guidelines and procedural rules are the latest step in its ongoing enforcement overhaul.

A Senate hearing highlighted the two parties' starkly different views of digital assets, with Democrats warning of price manipulation and Republicans saying the government should just get out of the way.

The trade group’s continued support comes with caveats as advocates for a stronger rule express hope that the Biden administration will change the 2019 regulation.

Eliminating the step-up in basis for calculating taxes may not become law, but it’s worth exploring options with your small enterprise-owner clients, says Sophia Duffy.

O’Connell violated six state laws, according to a regulatory complaint.

The nonprofit is serious about weeding out bad actors among CFP holders, writes Tom Sporkin, the official hired to run its compliance efforts.

Nearly 100 clients Mata allegedly defrauded for $14.5 million have received paltry restitution after exhausting every possible method.

The Houston, Texas-based firm was also censured and required to retain an independent consultant.

The wirehouse is the latest firm to have its financial advisors called out publicly by the regulator for disregarding warnings about holding the ETNs for a long time.

Here's what you missed this week in wealth management.

The Securities and Exchange Commission is ramping up enforcement against cryptocurrency providers, as the Internal Revenue Service has also stepped up investigations and compliance efforts.

FINRA arbitrators decided not to hold the major custodian liable for transactions prior to 2008, an attorney for the clients says.