SEC Chairman Paul Atkins called for clear cryptocurrency regulations in the United States during remarks in Washington, D.C., ...

The January 2023 glitch exposed gaps in NYSE’s disaster‑recovery setup, which affected thousands of listings and led to trading halts across dozens of stocks.

Early crowdfunding often broke securities laws due to unregistered offerings. In 2015, the SEC's Regulation Crowdfunding (Regulation CF) addressed this, stemming from the JOBS Act. It provides an ...

On July 31, 2024, the Securities and Exchange Commission (“SEC”) announced that it agreed to settle allegations that a California-based broker-dealer sold in excess of $13 million in “L bonds,” a ...

As the SEC moves closer to fully reopening along with other parts of the federal government, wealth management groups are calling for policies to end what they deem "regulation by enforcement." ...

The Securities and Exchange Commission is reversing course on the agency’s previous “regulation by enforcement” approach to cryptocurrency, SEC Commissioner Hester Peirce said March 5. “We are trying ...

The Securities and Exchange Commission warned brokerages Monday to expect tougher examinations for compliance with the new broker investment advice standard. In a statement released Monday by the SEC ...

We collaborate with the world's leading lawyers to deliver news tailored for you. Sign Up for any (or all) of our 25+ Newsletters. Some states have laws and ethical rules regarding solicitation and ...

The Securities and Exchange Commission has charged Thrivent Investment Management for violating the obligations in Regulation Best Interest when brokers for the firm recommended Class A mutual fund ...