In an appearance at SIFMA's annual conference, the SEC leader declined to provide a timeline for final regulations on his broad agenda.
Federated Hermes has indicated that it will end membership of the State Financial Officers Foundation.
State regulators filed cease-and-desist orders against an organization based in the country of Georgia that was selling non-fungible tokens known as Slotie NFTs.
There’s a lot more than control of the House and Senate on the ballot in November, especially for Gary Gensler and the SEC.
Raymond James Financial Services overlooked 'multiple red flags' related to the activities of two brokers, according to Finra.
There's some chance that members of both parties will want to open private markets to more ordinary investors.
The Federal Trade Commission says older Americans lost $147 million in 2021, up 213% from 2020, with crypto rip-offs being a leading culprit.
Garrett Elder and his Tycoon Trading firm also ordered to pay $7.4 million in restitution for issuing and selling unregistered securities.
In the 2022 tax form draft instructions, the agency explicitly says that digital assets include NFTs and virtual currencies.
Atlanta-based Kalos Capital has been crushed by more than $9 million in legal fees and costs related to sales of GPB private placements.
Republicans on the House Financial Services Committee give a preview of the pressure they're likely to apply to SEC Chairman Gary Gensler if the party takes over the House in the midterm elections.
'No one is going to want to settle with broker-dealers over GWG claims until the bankruptcy is resolved,' an attorney said about the lawsuit filed by Emerson Equity.
The agency settles with Sacramento-based Keith Springer and his firm, Springer Investment Management, over fraud charges.
The Department of Labor may not be inclined to change a proposal that would potentially upend the business model for independent broker-dealers and insurance agents.
The case demonstrates that Finra has more latitude to purse excessive trading violations, says a former head of enforcement.
The SEC is extending the comment periods on 11 rulemaking proposals and one request for comment due to problems with the electronic comment form on the agency’s website.
By honoring Bernanke, the prize committee have taken an unusual step of adding an actual practitioner of economics policy to their pantheon.
Hitting the sweet spot between taking advantage of new marketing opportunities and staying in compliance with the SEC marketing rule will be a big challenge for advisers.
The North American Securities Administrators Association is working on a model rule that 'mirrors' the SEC regulation.
The final rule is coming out at a time when sustainable investing has become a political flashpoint.
