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SEC wants to ensure investment advisory industry is clear about AI
Regulator to hold a virtual public meeting on the future of the industry.
Ex-RIA, CEO behind failed opportunity fund to pay $600k in penalties
The New York-based firm and its CEO made false statements and doctored portfolio data for a fund with positions in China, according to the SEC.
Stakeholders claim victory from SEC’s ether ETF approval
Voices from the wealth and crypto industries say the landmark crypto ETF verdict will open new doors for investors and advisors.
Lawmakers get their wish as SEC gives Ether ETFs the green light
Citing bitcoin ETFs, a bipartisan group of house representatives issued the call ahead of the federal securities regulator’s pivotal decision.
$10M penalty vs. NYSE parent goes too far, say SEC commissioners
Two dissenting voices from the federal regulator warned the penalty could create "a counter-productive dynamic" with its regulated entities.
New digital assets legislation is unfit to maintain investor protection, SEC chair warns
Financial Innovation and Technology for the 21st Century Act passed by the House.
SEC slaps NYSE parent firm with $10M penalty for cyber reporting failure
The federal securities regulator says the exchange giant took four days to report a vulnerability in its network, violating its internal procedures.
SEC chair hails benefits of faster settlements, but not everyone is so sure
T+1 begins Monday but there are concerns about a new way of working.
Ivan Boesky, central figure in 1980s insider trading scandal, dies at 87
Exposed and convicted after an SEC investigation, the real-life Gordon Gekko and poster child for Wall Street excess leaves behind a checkered legacy.
SEC tightens rules around data breach disclosures
Updates to a 24-year-old rule will require firms, including broker-dealers and RIAs, to prevent cyber risks and notify clients of incidents.
Haves and have nots: The illusory promise of SEC investor protection
While the rule ostensibly aims to shield investors from financial risk, the evidence suggests a different narrative.
New York RIA, founder to pay almost $1M to settle SEC conflict of interest charges
The firm advised clients to invest in films that its owner received payments for.
SEC, FinCEN float new anti-money laundering requirements for RIAs
Proposed rule aims to tighten client information and verification processes in order to curb risks from money laundering and other illicit activities.
SEC probing Boeing’s safety claims following Alaska Airlines incident
The federal regulator is examining statements from the company after a failure in one of its planes led to a near-tragedy in January.
Robinhood’s crypto business under fire after SEC warning
The stock trading platform is facing an enforcement action as the federal regulator continues to crack down on digital assets.
Trump Media stock plunges after SEC auditing bombshell
The company’s share price slumped after the federal regulator revealed charges of “massive fraud” against its auditing firm, leading to $14M in penalties.
Unwanted crypto gifts a headache for bitcoin ETF firms
Handcuffed by regulation, crypto ETF issuers are stuck with virtual assets that inadvertently made their way into their wallets.
SEC warns industry against marketing rule pitfalls
An alert from the regulator details problems it found in firms' compliance procedures, advertising practices, and Form ADV disclosures.
Senators push back against SEC climate rule
More than 30 senators are supporting a measure that would overturn the regulator’s climate disclosure rule.
SEC dings Minnesota investment manager over pay-to-play conflict
'Is four grand really going to influence a politician’s thinking?' one consultant asks.
