Securities

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.