The Crypto Market Integrity Coalition is amendable to regulation and wants to help shape it. The 17 members signed a pledge to combat fraud and manipulation and ensure fair digital markets.
A group representing independent insurance agents says the regulation places an undue burden on them.
I was watching my alma mater play a crucial conference game when a commercial from a financial firm sparked a debate on fiduciary duty.
Under the Labor Department rule that took effect this week, advisers must declare their fiduciary status and material conflicts of interest in writing and follow impartial conduct standards.
The SEC, NASAA and the CFTC take action to stop Safeguard Metals and its owner, Jeffrey Santulan, whose scheme allegedly targeted investors who were at or nearing retirement.
FSI is partnering with Inroads to encourage its member firms to offer paid internships for students of color.
Under Chairman Gary Gensler, the agency is taking a closer look at private equity, hedge funds.
A pending proposal likely would focus on strengthening advisory firms' disclosures and their preparedness for cyber risks.
The CFP Board also touts last year's growth in Black and Hispanic mark holders, who still represent a small fraction of the CFP population.
The leaders of the agency's enforcement division talk about the message the SEC sent with a $125 million penalty for JPMorgan's failure to preserve text messages.
