The Securities and Exchange Commission is seeking to bar Reginald Middleton from offering digital securities.

The window of opportunity for these upstarts is now closing.

The New Jersey Bureau of Securities revoked the registration of the firm, First Standard Financial, described as "a haven for greedy, dishonest agents who traded client accounts like sharks in a feeding frenzy".

Firms must track the totality of a relationship between advisors and clients over multiple devices, according to several compliance experts.

SIFMA and others took part in the Quantum Dawn V exercise this week; here’s how it went.

The markets tend not to overreact to most turbulent political and social environments, said Michael Townsend, Schwab’s head of legislative and regulatory affairs.

The Financial Industry Regulatory Authority ordered the brokerages to pay restitution to clients allegedly sold more expensive share classes in 529 college savings plans.

The SEC has proposed updates to the advertising and solicitation rules of the Investment Advisers Act.

The chair of the Securities and Exchange Commission said the new Form CRS could be a substantial tool for state enforcers, during a discussion at Fordham University School of Law.

The sentencing of Jay B. Ledford comes several weeks after his co-conspirator was sentenced to 22 years in prison, with both also ordered to recoup victims' losses.