Securities

A survey from the FINRA Foundation and CFA Institute finds that cryptocurrency and individual stocks remain popular with the younger crowd.

The banking giant plans to put all asset managers through training in Python programming language, whether they 'like it or not.'

A bill before Congress would let planners with certain securities licenses place clients' money in private markets regardless of their income or net worth.

More than $12.6 billion flows into equity exchange-traded funds in April, the most since January.

The regulator's latest staff bulletin also calls on planners at hybrid firms to always be clear about if they're wearing their broker or advisor hat.

In first appearance before GOP-controlled Financial Services Committee, SEC Chair brushes off criticism over regulation of digital assets.

Investor advocates argue that Massachusetts was within its right to hold broker-dealers to a higher standard.

Researchers find that performance expectations are highest among people who invest in environmental, social and governance causes for moral reasons.

The Wall Street regulator's sweeping proposal would affect everything from brokerage fees to how stock prices are quoted.

The $2.4 billion request for the Wall Street regulator would put 1,434 officers on the compliance beat, up 4% from seven years ago.

An advisor group warns the cybersecurity regulation is coming amid a flurry of proposals that could leave firms buried.

The test for independent advisor representatives will have novel sections on IPOs and SPACs.

At Future Proof, the founder of Pearl Planning cited fixed-income experts whose panel discussions identified value to unlock amid tumbling returns.

At Future Proof 2022, the eToro U.S. securities expert put the stock and bond losses last year into a helpful context when discussing them with clients.

FINRA warned brokers in its latest annual report about not being fully up to speed with the client-care rule.

Government watchdogs propose more oversight amid collapse of crypto and falling markets.

Even before the collapse of FTX, concerns about cryptocurrency and other risky investments were keeping regulators busy.

The Wall Street regulator's Regulation Best Execution would require firms to go to extra lengths to ensure they're getting the best deals for customers.

Hester Peirce will become the only GOP commissioner at the agency.

With over 40 ESG ratings, 150 rankings and 450 indices, a lack of standardization and transparency means scores can vary depending on which company is providing the rating.