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Wall Street could be facing fewer fines in 2019 as lone SEC Democrat leaves
For Wall Street banks and other companies accused of malfeasance, the risk of getting slapped with a big…
SEC charges business journalist, 12 others who sold Woodbridge Ponzi
The 13 additional unregistered brokers sold more than $350 million of the Ponzi's notes
SEC, Finra investigating GPB fund raising: sources
Regulators are making inquiries into GPB and the broker-dealers that sold their fund shares, according to sources.
Husband of UBS banker sued by SEC for insider trading
Peter Cho traded derivatives after eavesdropping on conversations about an upcoming deal.
Interest groups spar over best way to cover unpaid arbitration awards
PIABA suggests brokerages fund a pool or Finra pay for shortfalls with fines, while FSI asks regulators to ban offenders from all corners of industry.
Clayton tells lawmakers advisers can skirt fiduciary standard
SEC chairman refuses to give specific time line for final advice-reform rule, but says it's a priority.
SIFMA says Reg BI raises broker standard above investment adviser requirements
Investor advocate Roper: SIFMA wouldn't support SEC proposal if it reformed broker practices
Best the SEC can do or huge step backward? Industry leaders tussle over advice reform
Disagreement surrounds the effectiveness of Regulation Best Interest to meaningfully reduce conflicts.
Wells Fargo Advisors president David Kowach embraces best-interest standard
Executive calls 'fiduciary' an ally, not enemy, and supports a common advice regulation for investment advisers and brokers.
DJ Khaled and Floyd Mayweather settle with SEC for hyping cryptocurrency
Music producer and boxer accused of failing to disclose payments they received for promoting initial coin offerings.
Bitcoin ETFs stymied by lack of safeguards, says SEC chief Jay Clayton
Clayton said concerns about cryptocurrency being manipulated or stolen are keeping the agency from approving a bitcoin ETF.
Former N.J. broker gets prison time for $3.1 million fraud
Scott Newsholme sentenced to 8 1/2 years in jail for long-running scheme.
Fight for New Jersey fiduciary rule yields doomsday rhetoric from both sides
Stakeholders warned of a 'crisis' and 'decimation of our financial system' at a public meeting held by the New Jersey Bureau of Securities.
Kara Stein: Recent gains in female leadership aren’t enough
SEC commissioner says we've come a long way, but until we fully utilize the potential of half the population, we'll lose out on innovation and growth.
Hester Peirce: All women do not speak with the same voice, and SEC commissioners are no different
A history of decisions by female members of the Securities and Exchange Commission demonstrates that women bring multiple perspectives to their roles
Morningstar: DOL fiduciary rule reduces inflows to mutual funds with high loads
With the measure's demise, will the SEC's advice reform sustain the momentum?
LPL providing credit monitoring, identity protection to investors exposed by data breach
The firm remains tight-lipped about how many investors were affected.
Ohio National offers buyouts, ends commission trails amid jumbled regulatory oversight of VAs
Jurisdiction is shared between the SEC, Finra and state insurance commissioners. Will any of them step in?
SEC commissioner warns about use of leverage in ETFs
Products that employ derivatives to boost their returns threaten the reputation of the ETF market, says Robert Jackson.
Finra finds Commonwealth Financial overcharged these investors
Broker-dealer returns to investors the nearly $900,000 it gained by placing clients in higher-cost funds.
