Rina Hussain, associate director of the SEC’s broker-dealer exam program, said at the SEC Speaks conference held by the ...

The U.S. Securities and Exchange Commission (SEC) has decided not to ask a U.S. appeals court to review a June ruling that ...

In the first half of 2024, the Financial Industry Regulatory Authority (FINRA) issued several fines and suspensions against participants in ...

As America stumbles toward the 2024 election, the crypto industry appears bent on getting itself a new set of rules.

We need more accountability for the organization instead of focusing on the security leaders of these companies who, in many ...

With the Securities and Exchange Commission’s Regulation Best Interest turning five years old this summer, former SEC commissioner Robert Jackson and four other fiduciary advocates offered a range of ...

The SEC indicated in its Spring 2024 agenda that it intends to finalize the market structure rules prior to the November ...

But this is not to say that other federal agencies in the financial regulation industry won't be affected. FINRA, for example ...

On July 1, 2024, the SEC adopted tailored disclosure requirements and offering processes for non-variable annuity contracts—specifically, ...

The Securities and Exchange Commission elected not to appeal a federal appeals court’s decision striking down an agency rule ...

Oklahoma Attorney General Drummond has joined an amicus brief with six other states challenging the SEC's regulation of ...

The Sebi ban follows an investigation revealing that Mallya routed funds into the Indian market through complex transactions, ...