MML Investors Services has entered into a placement agent agreement with NYDIG, a provider of technology and investment solutions that focuses on Bitcoin.
The regulator is probing how brokerages approve and monitor options trading for customers and is requesting information pertaining to self-directed accounts and accounts in which a registered representative made recommendations.
The SEC chairman tells Sen. Warren that lawmakers should give watchdogs clear powers to write rules for exchanges, including DeFi trading venues.
The firm plans to convert four mutual funds into ETFs next year, making it the biggest name so far to make such a move.
The SEC leader used an analogy inspired by the 2020 Olympic Games to support increased public-company reporting. 'It's time for the Commission to take the baton,' he posted on Twitter.
The climate change report had stark findings and comes amid a severe drought in the American West and one of the worst wildfire seasons in California’s history.
UN-backed panel on climate change warns time is running out to stop global warming from exceeding 1.5 degrees Celsius.
The exchange will direct its listed companies to pursue board diversity — by having at least one female board member and at least one who identifies as a member of an underrepresented minority or LGBTQ — or explain why they don’t.
The provision, tucked inside a massive infrastructure bill, would require tax reporting for transactions similar to securities. The measure seeks to ensure that details about digital transactions — such as purchase price, gains and losses — are reported to the IRS.
The purchase of the investment boutique will provide the RIA with expertise in alternatives.
The SEC chairman's nod toward '40 Act crypto funds is the only opening the ETF space needed.
The three strategies it is rolling out as semitransparent ETFs are already available as mutual funds.
A recent survey showed most public companies are revealing information on climate change, but want mandatory ESG disclosures to be flexible.
By joining forces with ETF Trends and ETF Database, Alerian seeks to become a powerful force that helps ETF providers stay ahead of the curve.
The Securities and Exchange Commission chairman called on lawmakers to expand the agency's investor protection mandate to include crypto trading and decentralized finance. Cryptocurrency assets are worth roughly $1.6 trillion.
The San Diego tech firm will use the funds to expand its offerings to RIAs and explore registering as a broker-dealer.
The minority investment adds emerging markets expertise to Spouting Rock's multi-boutique mix.
Legislation by Rep. Patrick McHenry, R-N.C., would allow anyone who passes the agency's exam to purchase unregistered securities, but credentialing groups are concerned about the mechanism for becoming a sophisticated investor.
In a letter to Labor Secretary Marty Walsh, Democrats asked for an update on the DOL’s rule proposals on ESG criteria. Last year, the Trump administration DOL finalized two rules that tamped down on use of so-called nonpecuniary factors in investment selection.
More than 100 individuals were named on the short list for awards in 16 categories; the winners will be announced on Sept. 9.
