The proposal comes amid the broker-dealer regulator's push for a pilot program to test out branch reviews done at a distance rather than in person.

The SEC also alleges the firm's founder invested clients' money through a fund that employed his wife without disclosing the conflict.

Regulators accused the investment technology firm of not disclosing fees that ate into clients' interest payments.

The firm stood accused of not having policies to ensure clients' money was invested in keeping with environmental, social and governance goals.

Matthew Motil stands accused of raising more than $11 million by misleading investors about mortgage-backed promissory notes.

Federal Reserve officials have asserted that stablecoin regulation is necessary and within their jurisdiction. Observers say the central bank's crypto guidance and policies governing master accounts offer blurry visions of what shape such regulation might take.

A taxpayer failed in his quest to use the "reasonable cause and good faith" exception to avoid an IRS fine of hundreds of thousands of dollars.

An SEC panel meets to question who should meet the criteria for putting money into complex and possibly risky investments.

The agency's criminal investigation arm has opened probed at least 252 claims under the pandemic-era employee retention credit amounting to $2.8 billion worth of subsidies.

Mutual funds will have to take extra care when using terms like ESG, value and growth.